Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Simon has been a registered investment advisor representative since 1989. Steven has been with Equity Services, Inc. since 1995, and holds Series 2, 6, 7, 22, and 63 licenses, as well as the SIE exam. Steven also has the Chartered Financial Consultant designation and is an insurance agent for several life insurance companies. Steven is registered in 41 states and specializes in providing financial planning, pension consulting, and portfolio management for both individuals and businesses.
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.
Personalized portfolio management to meet individual financial objectives.
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.
1
2
CA
11/30/2000 - Present
Equity Services, Inc. (BEVERLY HILLS CA)
MA
03/30/1992 - 02/10/1995
SUN INVESTMENT SERVICES COMPANY (WELLESLEY HILLS MA)
NY
10/11/1989 - 04/08/1992
MONY SECURITIES CORP. (NEW YORK NY)
NY
10/11/1989 - 10/15/1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK (NEW YORK NY)
CT
06/19/1983 - 10/04/1989
AETNA LIFE INSURANCE AND ANNUITY COMPANY (HARTFORD CT)
NA
12/11/1984 - 10/10/1985
AETNA FINANCIAL SERVICES, INC.
NA
03/27/1981 - 06/24/1982
CG EQUITY SALES COMPANY
BC
Issued 03/11/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2000
Series 7 - General Securities Representative Examination
BC
Issued 06/03/1994
Series 2 - Non-Member General Securities Examination
BC
Issued 11/03/1981
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 03/25/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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