Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Pedone is a financial professional with over 20 years of experience in the securities industry. He is currently a registered representative with RBC Capital Markets, LLC and has been with the firm since August 2014. Previously, Stephen worked with Credit Suisse Securities (USA) LLC, Barclays Capital Inc., Lehman Brothers Inc., First Union Securities, Inc., First Union Capital Markets Corp., NatWest Finance Inc., and NatWest Securities Corporation. Stephen is a Series 7, Series 63, and Series 79TO licensed professional. Stephen specializes in providing financial planning and investment management services to a wide range of clients, including high-net-worth individuals, corporations, institutions, and government entities.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
NY
08/07/2014 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
11/04/2013 - 08/25/2014
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
09/22/2008 - 08/28/2013
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
05/04/2005 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
05/31/2002 - 09/09/2004
LEHMAN BROTHERS INC. (NEW YORK NY)
MO
10/01/1999 - 06/30/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
06/10/1999 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
03/05/1998 - 06/08/1999
NATWEST FINANCE INC. (NEW YORK NY)
NY
10/13/1997 - 03/10/1998
NATWEST SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 08/31/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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