Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Sullaway is a financial advisor who has been in the industry since 1980. Stephen is currently registered with Wells Fargo Advisors Financial Network, LLC, and is licensed in California and Texas. Stephen has a wide range of experience in the industry, having worked at several different firms, including UBS Financial Services Inc., Kidder, Peabody & Co. Incorporated, and Shearson Lehman Hutton Inc. Stephen is also registered with the Securities and Exchange Commission (SEC). Stephen offers a variety of financial services to individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
09/05/2023 - Present
Wells Fargo Advisors Financial Network, LLC (LA JOLLA CA)
CA
03/30/2007 - 09/05/2023
WELLS FARGO CLEARING SERVICES, LLC (LA JOLLA CA)
CA
01/28/1995 - 04/12/2007
UBS FINANCIAL SERVICES INC. (SAN DIEGO CA)
NY
10/06/1989 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
06/14/1982 - 10/11/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
09/26/1980 - 07/02/1982
PAINE, WEBBER, JACKSON & CURTIS INC.
IA
Issued 02/18/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1983
Series 3 - National Commodity Futures Examination
BC
Issued 09/20/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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