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Stephen Theodore Gladstone

Gladstone Financial LLC

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About Stephen Theodore Gladstone

Stephen Theodore Gladstone is an Investment Advisor Representative associated with Gladstone Financial LLC. Stephen Gladstone has been in the industry for over 29 years. Stephen Gladstone's primary business address is in Breckenridge, Colorado. Stephen Gladstone is currently registered in California and Colorado as an Investment Advisor Representative. Stephen Theodore Gladstone is also self-employed as a professional musician, not investment-related, in Breckenridge, Colorado.

Firm Information

Stephen Gladstone is currently registered with Gladstone Financial LLC. Gladstone Financial LLC is an investment advisor that manages portfolios for individuals. The firm has approximately $10.46 million in regulatory assets under management, primarily from 26 individual clients.

$10.46M

Assets Under Management

26

Total Clients

1

Total Financial Advisors

Services Offered

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.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephen Gladstone’s Registration & Firm History

CO

05/09/2013 - Present

Gladstone Financial LLC (BRECKENRIDGE CO)

CO

07/24/2006 - 04/10/2013

LPL FINANCIAL LLC (BRECKENRIDGE CO)

CA

10/22/2004 - 07/07/2006

MORGAN STANLEY DW INC. (NEWPORT BEACH CA)

NY

03/24/1997 - 11/01/2004

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NJ

10/10/1994 - 03/27/1997

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

IA

Issued 10/17/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/17/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/14/1999

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 09/14/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/10/2000

Series 3 - National Commodity Futures Examination

BC

Issued 10/07/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Stephen Theodore Gladstone.
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