![Stephen Adler, financial advisor New York NY](/img/ws/profile-blank-sq.png)
Stephen Adler (CRD# 819059) is an Investment Advisor Representative working at Raymond James & Associates, Inc. in New York, NY and has over 44 years of experience in the finance industry.
![Oreste Abbamonte, financial advisor New York NY](/img/ws/profile-blank-sq.png)
CRD# 4896689
J.p. Morgan Securities LLC
![Augustine Abbatiello, financial advisor New York NY](/img/ws/profile-blank-sq.png)
CRD# 5336896
Cetera Investment Advisers LLC
![Crystal Abbe, financial advisor New York NY](/img/ws/profile-blank-sq.png)
CRD# 5729536
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Company Name | Location | Dates | Years |
---|---|---|---|
Raymond James & Associates | New York, NY | Jun 2018 - Current | 5 |
Wells Fargo Clearing Services, LLC | New York, NY | Nov 2016 - Jun 2018 | 1 |
Wells Fargo Advisors LLC | New York, NY | May 2009 - Nov 2016 | 7 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Sep 1979 |
S65 | NASAA Investment Advisors Law Examination | Jul 1994 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
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Total Assets Under Management350,042MILLIONS
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Total Number of Accounts992,551ACCOUNTS
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Average Account Value$352,669
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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