Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Carlo is a financial advisor with over 30 years of experience in the industry. Stephen is registered with Osaic Wealth, Inc. and has a Series 6, 7, 24, 63, 65 and SIE licenses. He specializes in financial planning, portfolio management for individuals and businesses, and pension consulting. Stephen also offers educational seminars and selects other advisors for clients.
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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CT
06/14/2024 - Present
Osaic Wealth, Inc. (SUFFIELD CT)
CT
03/14/2003 - 06/14/2024
SECURITIES AMERICA, INC. (SUFFIELD CT)
MA
03/15/2002 - 01/08/2003
ALLMERICA INVESTMENTS, INC. (WORCESTER MA)
MN
01/09/2002 - 03/13/2002
SECURIAN FINANCIAL SERVICES, INC. (ST. PAUL MN)
NJ
10/01/1999 - 11/09/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
MA
12/08/1998 - 12/31/1999
SIGNATOR INVESTORS, INC. (BOSTON MA)
MA
05/12/1994 - 07/21/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NJ
12/14/1987 - 05/17/1993
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 02/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/19/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1994
Series 7 - General Securities Representative Examination
BC
Issued 11/25/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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