Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Dolan is a financial advisor with over 25 years of experience in the industry. Stephen has been registered with Osaic Institutions, Inc. since July 2024. Previously, Stephen was registered with Citigroup Global Markets Inc., B. RILEY WEALTH MANAGEMENT, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, FFP SECURITIES, INC., ALLIANCE FUND DISTRIBUTORS, INC., TITAN/VALUE EQUITIES GROUP, INC. and E. F. HUTTON & COMPANY INC. Stephen has passed the Series 7, Series 63, Series 66 and SIE exams and holds a Certified Financial Planner designation. Stephen is licensed in Connecticut, Florida, New Jersey, New York and Virginia. Stephen specializes in offering financial planning, educational seminars, and selection of other advisors. Stephen is also registered as an Investment Advisor Representative in New York.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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
NY
07/09/2024 - Present
Osaic Institutions, Inc. (Massapequa NY)
NY
05/21/2019 - 07/23/2024
CITIGROUP GLOBAL MARKETS INC. (HUNTINGTON STATION NY)
NY
06/30/2017 - 05/23/2019
B. RILEY WEALTH MANAGEMENT (New York NY)
NY
10/01/2012 - 04/14/2017
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
07/19/2007 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
04/02/2002 - 07/10/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
08/26/1999 - 11/02/2000
FFP SECURITIES, INC. (CHESTERFIELD MO)
TN
06/24/1997 - 10/28/1998
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
CA
04/15/1996 - 07/11/1997
TITAN/VALUE EQUITIES GROUP, INC. (IRVINE CA)
NA
11/18/1986 - 03/27/1987
E. F. HUTTON & COMPANY INC
BOTH
Issued 10/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/24/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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