Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Holbrook is a financial advisor with over 40 years of experience in the financial services industry. Steven has held principal positions in several firms including Scott & Stringfellow, Inc., Independence Securities, Inc., Holbrook, Keeton Securities, Inc., A. G. Edwards & Sons, Inc., and Wells Fargo Advisors, LLC. Currently, Steven is a registered representative with Oppenheimer & Co. Inc., located in Greensboro, NC. Steven Holbrook holds Series 63, 65, and 66 licenses and is a Series 7, 8, 9, 10, 24, 27, and 53 licensed principal. Steven Holbrook has a strong track record of helping individuals and businesses achieve their financial goals. Steven specializes in financial planning, portfolio management, and pension consulting services.
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.
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.
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.
1
2
NC
07/19/2013 - Present
Oppenheimer & Co. Inc. (GREENSBORO NC)
NC
01/01/2008 - 07/22/2013
WELLS FARGO ADVISORS, LLC (GREENSBORO NC)
NC
01/07/1993 - 01/03/2008
A. G. EDWARDS & SONS, INC. (GREENSBORO NC)
NC
04/24/1989 - 01/15/1993
HOLBROOK, KEETON SECURITIES, INC. (GREENSBORO NC)
NA
07/29/1988 - 05/26/1989
SCOTT & STRINGFELLOW, INC.
NA
09/24/1982 - 08/15/1988
INDEPENDENCE SECURITIES, INC.
BOTH
Issued 05/05/2004
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/15/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/18/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/20/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 09/05/1989
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/20/1988
Series 27 - Financial and Operations Principal Examination
BC
Issued 12/13/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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