Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cade? Claim Your ProfileCade Rockwell Steen is a financial advisor who has been working in the industry since 2004. Cade holds a Series 63 and Series 66 license and has worked with firms like Edward Jones, Ameriprise Financial Services, Inc., and USAA Financial Advisors, Inc. Cade is currently employed by Charles Schwab & CO., Inc. and has a CFP designation. Cade is registered as a Registered Representative in Texas and as an Investment Advisor Representative in Florida and Texas.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
TX
03/23/2023 - Present
Charles Schwab & CO., Inc. (San Antonio TX)
FL
02/14/2007 - 05/24/2020
USAA FINANCIAL ADVISORS, INC. (TAMPA FL)
TX
03/22/2006 - 01/19/2007
AMERIPRISE FINANCIAL SERVICES, INC. (AUSTIN TX)
TX
09/22/2004 - 01/25/2006
EDWARD JONES (AUSTIN TX)
BOTH
Issued 03/28/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/23/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/26/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/16/2018
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 06/19/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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