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 Mattocks is a financial advisor with over 30 years of experience in the financial services industry. He is currently registered with Osaic Wealth, Inc., and has previously held positions at Sagepoint Financial, Inc., SunAmerica Securities, Inc., Next Financial Group, Inc., New England Securities, Nationsbanc Investments, Inc., NationsSecurities, and MML Investors Services, Inc. Stephen is a Certified Financial Planner and a Chartered Financial Consultant. He specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and charitable organizations.
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.
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.
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2
KS
10/01/2024 - Present
Osaic Wealth, Inc. (WICHITA KS)
KS
10/31/2005 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (WICHITA KS)
AZ
02/12/2004 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
TX
07/08/2003 - 03/11/2004
NEXT FINANCIAL GROUP, INC. (HOUSTON TX)
NY
01/29/1999 - 05/22/2003
NEW ENGLAND SECURITIES (NEW YORK NY)
MA
01/01/1998 - 12/11/1998
NATIONSBANC INVESTMENTS, INC. (BOSTON MA)
NA
12/10/1997 - 01/01/1998
NATIONSSECURITIES
MA
11/27/1991 - 12/18/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
IA
Issued 11/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/25/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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