Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven David Ferris is a financial advisor with Wells Fargo Clearing Services, LLC. Steven is based in APPLETON, WI and has been in the financial services industry since 1998. Steven has licenses in 32 states and is registered as an investment advisor in 3 states. Steven is also registered with FINRA and is a member of the Securities Industry and Financial Markets Association (SIFMA). Steven specializes in providing financial advice to individuals and businesses. Steven is dedicated to providing clients with the highest level of service and guidance to help them 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.
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.
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2
WI
12/08/2015 - Present
Wells Fargo Clearing Services, LLC (APPLETON WI)
WI
10/25/2011 - 12/03/2015
MORGAN STANLEY (APPLETON WI)
WI
11/02/2006 - 01/10/2008
M&I BROKERAGE SERVICES, INC. (APPLETON WI)
AZ
08/14/2006 - 09/15/2006
CG BROKERAGE L.L.C. (PHOENIX AZ)
MO
04/08/1997 - 02/01/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BC
Issued 11/07/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/13/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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