John StephensCRD Number: 5973514
Current Firm: Wells Fargo Advisors, LLC
John Stephens (CRD# 5973514) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Tuckerton, NJ and has over 5 years of experience in the finance industry.
Investors Capital Advisory
Ubs Financial Services Inc.
|Wells Fargo Advisors LLC||Pomona, NJ||Aug 2011 - Current||5|
|Wells Fargo Bank Na||Pomona, NJ||Jul 2010 - Jan 2013||2|
|Wells Fargo Financial||Egg Harbor Twp, NJ||May 2009 - Jul 2010||1|
|Penn State University||State College, PA||Sep 2007 - May 2009||1|
|Trump Marina||Atlantic City, NJ||May 2008 - Sep 2008||< 1|
|Trump Marina||Atlantic City, NJ||May 2007 - Sep 2007||< 1|
|Sears||Harrisburg, PA||Sep 2006 - May 2007||< 1|
|Trump Marina||Atlantic City, NJ||May 2006 - Sep 2006||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 2011|
|S66||NASAA Uniform Combined State Law Examination||Mar 2013|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management372,113MILLIONS
Total Number of Accounts1,339,368ACCOUNTS
Average Account Value$277,827
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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
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