Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Ellis is a financial professional with over 20 years of experience in the financial services industry. Steven is currently a Registered Representative at Fifth Third Securities, Inc. Steven's professional experience includes roles at Wells Fargo Securities, LLC, Wachovia Securities, LLC and Banc of America Securities LLC. Steven holds licenses in both Series 7 and Series 63, and Steven's licenses include the Series 24, Series 57, Series 72, Series 79, and Series 99, and the SIE. Steven is registered in North Carolina.
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.
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.
Sponsor wrap fee program
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.
A percentage of the total value of assets under management is charged.
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NC
11/08/2021 - Present
Fifth Third Securities, Inc. (CHARLOTTE NC)
NC
03/04/2019 - 01/15/2020
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
NC
07/01/2003 - 02/28/2019
WELLS FARGO SECURITIES, LLC (CHARLOTTE NC)
MO
09/13/2001 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/23/1996 - 05/02/2001
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 10/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/7/2009
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 1/2/2023
Series 72 - Government Securities Representative Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/5/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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