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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Walter Brooks is a financial advisor with over 20 years of experience in the industry. Stephen currently works with Wells Fargo Clearing Services, LLC and has held previous roles at Morgan Stanley Smith Barney and Citigroup Global Markets Inc. Stephen is a CERTIFIED FINANCIAL PLANNER™ professional and holds several licenses and registrations, including Series 6, 7, 31, and 63, as well as the SIE exam. Stephen is licensed to provide investment advice in multiple states, including Florida, Texas, Arkansas, California, Delaware, Georgia, Illinois, Maryland, Massachusetts, Michigan, Minnesota, New York, North Carolina, Ohio, Pennsylvania, and Virginia.
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.
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.
Investment consulting services to institutional clients
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
FL
03/08/2011 - Present
Wells Fargo Clearing Services, LLC (TAMPA FL)
FL
06/01/2009 - 03/03/2011
MORGAN STANLEY SMITH BARNEY (TAMPA FL)
FL
10/15/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TAMPA FL)
NA
11/03/1989 - 09/25/1991
MML INVESTORS SERVICES, INC.
IA
Issued 10/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 10/14/1999
Series 7 - General Securities Representative Examination
BC
Issued 11/02/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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