Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Gatto is an investment professional with over 20 years of experience in the financial services industry. Steven has worked for several prominent firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Currently, Steven is registered with RBC Capital Markets, LLC in Illinois and Texas. Steven has a wide range of expertise in the financial markets, including securities, commodities, and investment advisory services. Steven holds the Series 3, Series 7, and Series 66 licenses. Steven is dedicated to providing clients with personalized financial advice and investment management 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
IL
04/29/2021 - Present
RBC Capital Markets, LLC (Lake Forest IL)
IL
11/21/2008 - 04/30/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LAKE FOREST IL)
IL
04/02/2007 - 12/01/2008
MORGAN STANLEY & CO. INCORPORATED (LIBERTYVILLE IL)
IL
07/30/2001 - 04/02/2007
MORGAN STANLEY DW INC. (LIBERTYVILLE IL)
BOTH
Issued 08/14/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2001
Series 3 - National Commodity Futures Examination
BC
Issued 07/26/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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