Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen W. Simpson is a financial advisor at Robert W. Baird & Co. Inc. Stephen has over 20 years of experience in the financial industry. Stephen holds a number of licenses and certifications including Series 7, Series 10, Series 24, Series 50, Series 52, Series 53, and Series 79. Stephen has worked at a number of firms including Oppenheimer & Co. Inc., RBC Capital Markets, LLC, Advest, Inc., and State Street Global Markets, LLC. Stephen's specialties include Investment Banking, Municipal Securities, and General Securities.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
MA
11/21/2022 - Present
Robert W. Baird & Co. Inc. (BOSTON MA)
MA
05/03/2016 - 11/11/2022
OPPENHEIMER & CO. INC. (BOSTON MA)
MA
01/02/2004 - 02/03/2016
RBC CAPITAL MARKETS, LLC (BOSTON MA)
CT
01/13/2003 - 01/07/2004
ADVEST, INC. (HARTFORD CT)
MA
04/13/1999 - 05/31/2002
STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)
BOTH
Issued 08/12/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/08/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/23/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 04/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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