Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Brian Waxgiser is a financial advisor who has been in the industry since February 12, 1990. Steven is currently registered with Stifel, Nicolaus & Company, Inc. as a Registered Representative and Investment Advisor Representative. Steven's previous employers include WELLS FARGO CLEARING SERVICES, LLC, RBC CAPITAL MARKETS CORPORATION and J. B. HANAUER & CO.. Steven has passed several industry exams including Series 3, Series 7, Series 22 and SIE. Steven is registered to provide investment advisory and brokerage services in several states including, but not limited to, California, Colorado, Connecticut, Florida, Illinois, Iowa, Maryland, Massachusetts, New Jersey, New York, Oregon, Pennsylvania, Rhode Island, Tennessee, Texas, Utah and Virginia.
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.
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
NJ
11/23/2020 - Present
Stifel, Nicolaus & Company, Inc. (MORRISTOWN NJ)
NJ
07/30/2010 - 11/24/2020
WELLS FARGO CLEARING SERVICES, LLC (FLORHAM PARK NJ)
NJ
10/09/2009 - 08/26/2010
RBC CAPITAL MARKETS CORPORATION (PARSIPPANY NJ)
NJ
10/16/1991 - 10/09/2009
J. B. HANAUER & CO. (PARSIPPANY NJ)
CA
08/01/1990 - 06/25/1991
PACIFIC CAPITAL PARTNERS, INC. (LA JOLLA CA)
NA
10/24/1989 - 08/07/1990
REMINGTON SECURITIES, INC.
BC
Issued 07/19/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1991
Series 7 - General Securities Representative Examination
BC
Issued 10/20/1989
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 11/03/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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