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Steven Anthony Busto

PHX Financial, Inc.

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About Steven Anthony Busto

Steven Anthony Busto is a financial professional with over 28 years of experience in the industry. Steven Busto is currently registered with PHX Financial, Inc. and is licensed in 30 states. Steven Busto has been active in the securities industry since August 18, 1994. Prior to joining PHX Financial, Inc., Steven Busto was registered with ROYAL ALLIANCE ASSOCIATES, INC., FIRST MIDWEST SECURITIES, INC., EMMETT A LARKIN COMPANY, INC., ITRADEDIRECT.COM CORP, GUNNALLEN FINANCIAL, INC, and SEABOARD SECURITIES, INC.

Firm Information

Steven Busto is currently registered with PHX Financial, Inc.. PHX Financial, Inc. is a Corporation formed in December 2006. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 3 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

65

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Steven Busto’s Registration & Firm History

NY

12/02/2015 - Present

PHX Financial, Inc. (Hauppauge NY)

NY

03/05/2015 - 12/09/2015

ROYAL ALLIANCE ASSOCIATES, INC. (SMITHTOWN NY)

NY

10/18/2007 - 04/20/2015

FIRST MIDWEST SECURITIES, INC. (SMITHTOWN NY)

NY

05/23/2007 - 10/22/2007

EMMETT A LARKIN COMPANY, INC. (SMITHTOWN NY)

NY

06/20/2005 - 05/22/2007

ITRADEDIRECT.COM CORP (HAUPPAUGE NY)

FL

04/30/2002 - 06/15/2005

GUNNALLEN FINANCIAL, INC (TAMPA FL)

NJ

09/24/1998 - 05/20/2002

SEABOARD SECURITIES, INC. (FLORHAM PARK NJ)

NY

08/15/1994 - 10/09/1998

GAINES, BERLAND INC. (BETHPAGE NY)

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Licenses & Designations

BOTH

Issued 09/20/2012

Series 66 - Uniform Combined State Law Examination

IA

Issued 10/21/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/22/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/01/2001

Series 4 - Registered Options Principal Examination

BC

Issued 11/10/1997

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/13/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 6 public disclosures for Steven Anthony Busto. Review regulatory record here.
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