Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Sharkey has been a financial advisor for over 30 years, holding registrations in both the broker-dealer and investment advisor spaces. Stephen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has also been registered with several other firms over the years, including BANC of AMERICA INVESTMENT SERVICES, INC., NATIONSSECURITIES, AMERICAN EXPRESS SERVICE CORPORATION, THE STUART-JAMES COMPANY, INCORPORATED. Stephen is a Series 7, Series 24, Series 31, Series 52TO, and Series 63 license holder and has successfully passed the Series 4, Series 53 and Series 65 exams as well.
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
06/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREENSBORO NC)
NC
01/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GREENSBORO NC)
NA
08/20/1997 - 01/01/1998
NATIONSSECURITIES
MN
02/05/1997 - 08/29/1997
AMERICAN EXPRESS SERVICE CORPORATION (MINNEAPOLIS MN)
NY
10/09/1990 - 10/25/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CO
05/25/1989 - 08/07/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
IA
Issued 02/18/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/15/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/2001
Series 4 - Registered Options Principal Examination
BC
Issued 08/04/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/14/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 05/20/1989
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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