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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 Bates is an investment advisor representative at Essex Financial Services, Inc. Stephen has been in the securities industry since 1993. Stephen has passed the Series 6, 7, 63, 65, 99TO and SIE exams and holds an active registration in Connecticut. Stephen has a strong background in financial planning and portfolio management, including experience working with high-net-worth individuals, charitable organizations, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth. Stephen is also a member of the board of directors at the Old Lyme Library.
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.
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CT
09/05/2008 - Present
Essex Financial Services, Inc. (ESSEX CT)
CT
09/04/2008 - 07/29/2021
ESSEX FINANCIAL SERVICES, INC. (ESSEX CT)
CT
09/14/2006 - 09/04/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (WESTPORT CT)
NY
06/06/2003 - 12/31/2005
MBSC, LLC (NEW YORK NY)
NY
09/27/2002 - 06/06/2003
MELLON FINANCIAL MARKETS, LLC (NEW YORK NY)
PA
03/22/1996 - 02/12/1997
PNC BROKERAGE CORP (PITTSBURGH PA)
NA
02/27/1995 - 12/11/1995
SHAWMUT BROKERAGE, INC.
IN
03/28/1994 - 07/15/1994
MDS SECURITIES INCORPORATED (CARMEL IN)
NA
12/13/1993 - 03/28/1994
SHAWMUT BROKERAGE, INC.
IA
Issued 11/08/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/05/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2002
Series 7 - General Securities Representative Examination
BC
Issued 12/11/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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