Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Violette is a financial professional with over 35 years of experience in the industry. Steven has a Series 3, Series 7, and Series 63 licenses. Steven is registered with Wells Fargo Clearing Services, LLC and is also a Registered Investment Advisor. Steven Violette has previously worked at UBS Financial Services Inc and Citigroup Global Markets Inc. Steven is currently located at the Westport branch office of Wells Fargo Clearing Services, LLC.
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.
Investment consulting services to institutional clients
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
CT
05/08/2019 - Present
Wells Fargo Clearing Services, LLC (WESTPORT CT)
CT
05/30/2008 - 05/17/2019
UBS FINANCIAL SERVICES INC. (WESTPORT CT)
CT
07/03/1999 - 06/18/2008
CITIGROUP GLOBAL MARKETS INC. (WESTPORT CT)
NJ
10/30/1985 - 07/08/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 11/05/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/1985
Series 3 - National Commodity Futures Examination
BC
Issued 10/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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