Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Katz is a financial advisor with over 30 years of experience in the financial services industry. Steven is currently registered with LPL Financial LLC and has a strong track record of providing investment advice to individuals, families, and businesses. Steven holds a Series 7, Series 24, Series 63, and Series 65 licenses, and is also a Registered Representative. Steven has worked with clients in Connecticut, Texas, and several other states. Steven's previous employers include New England Securities, Smith Barney Inc., and Lehman Brothers Inc. Steven specializes in providing financial planning, investment management, and retirement planning 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.
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.
Consulting and other non-discretionary advisory services
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.
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2
CT
02/17/2016 - Present
LPL Financial LLC (STAMFORD CT)
NY
08/23/1994 - 08/11/1998
NEW ENGLAND SECURITIES (NEW YORK NY)
NY
07/31/1993 - 09/07/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
03/20/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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