Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Wayne Fitzpatrick is a registered investment advisor representative with Sanders Morris LLC in Dallas, TX. Stephen Fitzpatrick has been in the financial services industry since June 2003. Stephen Fitzpatrick has a Series 65, Series 63, Series 7, Series 3, and SIE licenses.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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TX
09/07/2022 - Present
Sanders Morris LLC (Dallas TX)
TX
12/01/2005 - 12/15/2005
STIFEL, NICOLAUS & COMPANY, INCORPORATED (DALLAS TX)
MD
04/20/2001 - 12/01/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
08/04/1995 - 05/03/2001
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
11/20/1992 - 08/11/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
TX
08/03/1992 - 11/06/1992
FIRST WESTERN SECURITIES, INC. (HURST TX)
IA
Issued 08/07/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/2016
Series 7 - General Securities Representative Examination
BC
Issued 02/03/2000
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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