Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Carlock is a financial advisor registered with Raymond James Financial Services Advisors, Inc. Steven has been a registered professional in the securities industry since 1992. He holds Series 7, 24, 31, 63 and 65 licenses. Steven is also a registered Investment Advisor in Indiana and Texas. He is a member of the Financial Industry Regulatory Authority (FINRA). Steven's office is located in South Bend, IN and he provides services for a variety of client types, including individuals, high-net-worth individuals, corporations, businesses, pension and profit-sharing plans, charitable organizations, and insurance companies. He offers financial planning, portfolio management for businesses and individuals, as well as hourly and fixed rate consultations. Steven was previously registered with LPL Financial LLC.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
IN
02/28/2022 - Present
Raymond James Financial Services Advisors, Inc. (SOUTH BEND IN)
IN
08/22/2003 - 05/11/2015
LPL FINANCIAL LLC (SOUTH BEND IN)
MO
04/20/1992 - 08/25/2003
EDWARD JONES (ST. LOUIS MO)
IA
Issued 10/16/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/30/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 04/07/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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