Unclaimed
Theresia Magdalena Ennen-Herrmann has been in the financial services industry since 1995. She is currently registered with Steward Partners Investment Advisory, LLC in New York, New Jersey and Texas. Theresia has a background in working with Raymond James Financial Services, Inc., Raymond James & Associates, Inc. and Prudential Securities Incorporated. Her prior registrations are for the state of Florida, New York, Texas, Georgia, Massachusetts, Illinois, Maryland, Connecticut, California and District of Columbia. Her areas of focus are Financial Consulting, Financial Planning, Pension Consulting, Selection of Other Advisers, Portfolio Management for Individuals. Theresia has experience working with individuals, high net worth individuals, corporations or other businesses, charitable organizations, pension and profit-sharing plans, and state or municipal government entities.
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.
Personalized portfolio management to meet individual financial objectives.
Financial consulting
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
NY
09/28/2017 - Present
Steward Partners Investment Advisory, LLC (NEW YORK NY)
NY
04/07/2016 - 05/27/2022
RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)
NA
01/03/2007 - 03/13/2015
RAYMOND JAMES & ASSOCIATES, INC. (MEERBUSCH )
NA
04/20/2001 - 12/31/2006
RAYMOND JAMES FINANCIAL SERVICES, INC. (MEERBUSCH )
FL
05/04/1999 - 05/17/2001
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
NY
07/29/1994 - 04/30/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 9/11/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 8/3/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/16/1995
Series 3 - National Commodity Futures Examination
BC
Issued 7/16/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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