Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Charles Guggenheimer is a financial advisor with over 30 years of experience in the industry. Steven is currently registered with Janney Montgomery Scott LLC, a firm with over $85 billion in regulatory assets under management. Previously, Steven was a financial advisor at Barclays Capital Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Neuberger Berman LLC. Steven has a broad range of experience and holds multiple licenses including Series 3, 7, 10, and 65. Steven has a strong track record of providing financial advice to individuals, families, businesses, and institutions. He is committed to providing personalized service and helping clients achieve their financial goals.
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.
Fee plus commission
1
2
NY
03/10/2014 - Present
Janney Montgomery Scott LLC (NEW YORK NY)
NY
11/15/2012 - 03/28/2014
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
06/04/2010 - 10/18/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
01/07/2002 - 06/08/2010
NEUBERGER BERMAN LLC (NEW YORK NY)
NY
05/27/1987 - 01/17/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 11/18/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/05/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/28/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/2011
Series 3 - National Commodity Futures Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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