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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven D. Thompson is an investment advisor representative at Morgan Stanley. Steven is a veteran of the financial services industry, having worked in the field since 2002. Steven has a broad range of experience and is licensed to provide investment advice and services in many states. Steven has held past roles at Invesco Distributors, Inc., Transamerica Financial Advisors, Inc, Wachovia Capital Markets, LLC and Banc of America Securities LLC. Steven is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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
GA
01/10/2024 - Present
Morgan Stanley (ATLANTA GA)
GA
07/07/2014 - 08/09/2023
INVESCO DISTRIBUTORS, INC. (ATLANTA GA)
IA
04/07/2009 - 06/26/2014
TRANSAMERICA FINANCIAL ADVISORS, INC (CEDAR RAPIDS IA)
NC
10/16/2006 - 11/19/2007
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
NY
09/28/2000 - 10/20/2006
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
IA
Issued 12/21/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2000
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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