Stephen Stout
Professional Summary
Stephen Stout is a registered financial advisor currently at FINALIS SECURITIES LLC located in New York, New York. Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 86 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Years of Experience
26 years in the financial services industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current Firm
DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC
Contact Information
Main Address
450 Lexington Ave, New York, NY 10017Mailing Address
228 Park Ave South Suite 85550, New York, NY 10003Phone Number
(800) 962-0418Established
Delaware since 09/10/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
(6/4/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Mar 2005About the Series 87 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRS (Client Relationship Summary) - BD
Click below to view Stephen Stout's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LPL FINANCIAL LLC
MORGAN STANLEY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
