Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Waterman Pettit is a financial advisor registered with Wells Fargo Clearing Services, LLC since November 2016. Stephen has been in the securities industry since December 1966 and has a strong track record of providing financial planning and portfolio management services to individuals and businesses. In addition to his experience with Wells Fargo Clearing Services, LLC, Stephen has worked with a number of other firms over the course of his career, including First Union Capital Markets Corp., Butcher & Singer Inc., Shearson Lehman Hutton Inc., Paine, Webber, Jackson & Curtis Inc., Blyth Eastman Dillon & Co. Incorporated, Merrill Lynch, Pierce, Fenner & Smith, Inc., and Eastman Dillon, Union Securities & Co., Incorporated.
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
CT
08/04/2020 - Present
Wells Fargo Clearing Services, LLC (WESTPORT CT)
NC
01/01/1991 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NA
04/16/1990 - 01/01/1991
BUTCHER & SINGER INC.
NY
02/28/1980 - 04/16/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
01/31/1980 - 03/15/1980
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
11/17/1972 - 01/31/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
NA
12/19/1966 - 01/02/1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
NA
02/07/1972 - 11/17/1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
BC
Issued 08/04/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/10/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 12/16/1966
Series 000 - General Securities Principal Examination
BC
Issued 12/16/1966
Series 1 - Registered 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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