Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Burgess is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has been in the industry since 1982 and has experience with investment companies, corporations, high-net-worth individuals, individuals other than high-net-worth, charitable organizations, pension and profit-sharing plans, and insurance companies. Previous employers include CITIGROUP GLOBAL MARKETS INC. and RAYMOND JAMES & ASSOCIATES, INC. Stephen is licensed in 24 states and has a wide array of licenses and certifications.
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 Inc. (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 01/22/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/24/1989
Series 24 - General Securities Principal Examination
BC
Issued 12/10/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1985
Series 3 - National Commodity Futures Examination
BC
Issued 10/16/1982
Series 18 - Securities Industry Rules and Regulations Examination
BC
Issued 08/19/1978
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
Not sure Stephen Burgess is the right advisor for you? Invested Better is here to help.
