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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Alan Steel is a financial advisor who has been in the industry since 1998. Jeffrey is currently registered with Morgan Stanley and has been with the firm since 2009. Before joining Morgan Stanley, Jeffrey worked at Citigroup Global Markets Inc., UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and BA Investment Services, Inc. Jeffrey holds several licenses including Series 6, 7, 63, and 66, and the SIE exam. Jeffrey Alan Steel is registered to provide investment advisory services to individuals, businesses, investment companies, and charitable organizations.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
04/08/2020 - Present
Morgan Stanley (CLAREMONT CA)
CA
08/31/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CLARMONT CA)
CA
05/24/2002 - 09/19/2007
UBS FINANCIAL SERVICES INC. (NEWPORT BEACH CA)
NY
09/15/2000 - 06/24/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
12/18/1996 - 06/07/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BOTH
Issued 10/05/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/16/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2000
Series 7 - General Securities Representative Examination
BC
Issued 12/16/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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