Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen T. Foody is a financial advisor with over 35 years of experience in the industry. Stephen is currently registered with Wells Fargo Clearing Services, LLC, in Florida and Texas. Previously, Stephen was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Securities, LLC, First Union Brokerage Services, Inc., Lehman Brothers Inc., and A B D Securities Corporation. Stephen holds several licenses and certifications, including the Series 7, 9, 10, 31, 63, and 65. Stephen's areas of specialization include Retirement Planning, College Savings, Insurance, and Estate Planning. Stephen is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
1
2
FL
04/08/2021 - Present
Wells Fargo Clearing Services, LLC (PONTE VEDRA BEACH FL)
FL
10/17/2008 - 04/09/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PONTE VEDRA BEACH FL)
FL
10/01/2000 - 10/20/2008
WACHOVIA SECURITIES, LLC (JACKSONVILLE FL)
NC
08/29/1995 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
03/11/1993 - 08/01/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/25/1992 - 03/05/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
02/21/1986 - 07/02/1992
A B D SECURITIES CORPORATION (NEW YORK NY)
IA
Issued 06/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/29/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 02/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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