Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Thomas Burgess has been in the financial services industry since 1982. Stephen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated as an investment advisor representative. Previously, Stephen worked with Citigroup Global Markets Inc., Round Hill Securities, Inc., Raymond James & Associates, Inc., Oppenheimer & Co., Inc., Investors Asset Management, Inc., and The Robinson-Humphrey Company Inc. Stephen has a wide range of experience and knowledge in the financial services industry. He is a licensed investment advisor representative in North Carolina, Texas and other states. Stephen holds Series 3, 7, 8, 9, 10, 18, 24, 63, and 65 licenses. Stephen is a member of FINRA and is committed to providing his clients with the highest level of service and professionalism.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NC
01/04/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated (CHARLOTTE NC)
NC
03/06/2001 - 05/29/2008
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
CA
05/22/1997 - 03/08/2001
ROUND HILL SECURITIES, INC. (ALAMO CA)
FL
03/30/1994 - 05/15/1997
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
NY
10/23/1990 - 03/08/1994
OPPENHEIMER & CO., INC. (NEW YORK NY)
NA
04/08/1988 - 11/21/1990
INVESTORS ASSET MANAGEMENT, INC.
NA
08/23/1982 - 05/11/1988
THE ROBINSON-HUMPHREY COMPANY INC.
IA
Issued 1/22/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/24/1989
Series 24 - General Securities Principal Examination
BC
Issued 12/10/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/21/1985
Series 3 - National Commodity Futures Examination
BC
Issued 10/16/1982
Series 18 - Securities Industry Rules and Regulations Examination
BC
Issued 8/19/1978
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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