Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Stapleton is a financial advisor in Indianapolis, Indiana. Steven has been a registered representative since February 1986. Steven is currently registered with Morgan Stanley. Steven previously worked at MORGAN STANLEY & CO. INCORPORATED and MORGAN STANLEY DW INC.. Steven has passed the Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the National Commodity Futures Examination, and the General Securities Representative Examination. Steven is licensed in 38 states and the District of Columbia. Steven is also registered as an investment advisor representative in Indiana and Texas.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IN
06/01/2009 - Present
Morgan Stanley (Indianapolis IN)
IN
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (INDIANAPOLIS IN)
IN
02/19/1986 - 04/02/2007
MORGAN STANLEY DW INC. (INDIANAPOLIS IN)
BC
Issued 02/25/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/1990
Series 3 - National Commodity Futures Examination
BC
Issued 02/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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