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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 Eric Schwimmer is a registered investment advisor with Morgan Stanley. Steven has been working in the financial industry since October 1980. Steven has worked for several firms over the years, including Citigroup Global Markets Inc. and Shearson Lehman Hutton Inc. Steven is licensed to provide investment advice in 28 states, including California, Texas, New York, and Florida. Steven is a Series 7, 9, 10, 63, and 65 licensed professional with experience providing financial advice and portfolio management services to high-net-worth individuals, families, and corporations. Steven is also a registered principal with Morgan Stanley, which means he has a supervisory role within the firm.
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
CA
02/24/2014 - Present
Morgan Stanley (Laguna Niguel CA)
CA
02/01/1988 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LAGUNA NIGUEL CA)
NA
03/28/1983 - 02/19/1988
SHEARSON LEHMAN HUTTON INC.
NA
10/23/1980 - 04/08/1983
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 01/11/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1980
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 10/20/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1983
Series 3 - National Commodity Futures Examination
BC
Issued 10/18/1980
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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