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Jim's Credentials and Licensure
Jim has been in the brokerage and financial planning business since 1984 and has worked with most financial products and markets. Jim enjoys his financial advisory business for the ability to help his clients build wealth. "It is very rewarding to see people directly benefit from my one-on-one service."
- Bachelor of Science Degree Summa Cum Laude in Business
- Associate of Arts degree with Honors in Business
- Series 24, General Securities Principal
- Series 7, General Securities Representative
- Series 65, Uniform Investment Advisory Exam
- Series 63, Uniform Securities Agent State Law Exam
- Minnesota Insurance License VA, Life & Health
- Investment Advisor Representative of Securities America Advisors, Inc.
Jody's Credentials and Licensure
Jody has worked with Jim since 2006, and in 2010 has been promoted to Executive Associate. Jody handles the operational work of the office including monitoring client security, data processing, and facilitating all financial planning and portfolio review details. She has a Bachelor of Arts from the University of Pittsburgh and has held posts in Washington, D.C. and Pittsburgh, Pennsylvania.
Brokerage accounts carried by National Financial Services, LLC (NFS) a Fidelity Investment Company, are protected in accordance with the Securities Investor Protection Corporation (SIPC), up to $500,000 in securities (including cash claims limited to $100,000 in cash). For more details, see www.sipc.org. Additional FDIC insured protection is available for eligible brokerage sweep accounts for cash balances $250,000 up to $1,000,000 through an affiliated 8 bank network to include Ameriprise Bank, FSB. www.fdic.gov.
Please be advised that this web site is owned by James E. Stephan, Registered Representative offering securities through Securities America, Inc., a Registered Broker/Dealer, member FINRA/SIPC.
Jim Stephan is licensed to offer investment products/financial services to residents of the states listed below and not to individuals residing in a state not listed until Jim Stephan chooses to and becomes licensed in that state. Jim is currently licensed in the following states: Arizona, Colorado, Florida, Iowa, Kansas, Minnesota, North Dakota, Nebraska, Pennsylvania, Washington, and Wisconsin. All insurances offers shall be to residents of Minnesota, Wisconsin, Arizona, Florida, Kansas, and North Dakota.
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