Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Lach is a financial advisor registered with Charles Schwab & Co., Inc. in Seattle, WA. Stephen has been in the financial services industry since 1994. Stephen has passed the Series 63, 65 and 66 exams. Stephen has previously worked at TD AMERITRADE, INC., FIRST COMMAND FINANCIAL PLANNING, INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Stephen's current registrations include Branch Office of Charles Schwab & Co., Inc. in Seattle, WA. Stephen is registered to provide investment advisory services in Washington. Stephen is also registered to provide brokerage services in Alaska, Arizona, California, Florida, Idaho, Louisiana, Massachusetts, New Jersey, Ohio, Oregon, Pennsylvania, Texas, Virginia and Washington.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
WA
01/26/2022 - Present
Charles Schwab & CO., Inc. (Seattle WA)
WA
09/04/2018 - 07/29/2024
TD AMERITRADE, INC. (Seattle WA)
WA
02/14/2017 - 11/15/2017
FIRST COMMAND FINANCIAL PLANNING, INC. (SPOKANE WA)
NA
04/13/1994 - 08/12/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 04/13/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/07/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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