Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Carroll is a financial advisor with over 28 years of experience in the industry. Stephen is registered with Osaic Wealth, Inc. in Bend, Oregon, and is also registered with the state of Oregon as an investment advisor representative. Stephen has held previous positions at FSC Securities Corporation, Ameriprise Financial Services, LLC, and D.A. Davidson & Co. Stephen is also a Certified Financial Planner™ professional. Stephen has a comprehensive understanding of the financial services industry and can provide clients with a range of services, including financial planning, portfolio management, and investment advisory services.
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.
1
2
OR
11/03/2023 - Present
Osaic Wealth, Inc. (BEND OR)
OR
09/08/2021 - 11/03/2023
FSC SECURITIES CORPORATION (BEND OR)
OR
04/01/2011 - 09/09/2021
AMERIPRISE FINANCIAL SERVICES, LLC (Bend OR)
OR
05/27/2005 - 04/01/2011
D.A. DAVIDSON & CO. (BEND OR)
NJ
03/13/1995 - 06/17/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
IA
Issued 07/10/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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