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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Setterstrom has been a registered investment advisor since September 1993. Setterstrom works for Morgan Stanley and is based in MOBILE, AL. Setterstrom's first role in the industry was with DEAN WITTER REYNOLDS INC. Setterstrom was previously registered with CITIGROUP GLOBAL MARKETS INC. Setterstrom holds licenses for both broker-dealer and investment advisor registrations. Setterstrom has a combined total of 25 years of experience in the investment advisory industry.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
AL
01/27/2015 - Present
Morgan Stanley (MOBILE AL)
AL
02/23/2001 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MOBILE AL)
NY
09/17/1993 - 02/26/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 05/24/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/1993
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 11/18/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 09/15/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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