Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Rau is a financial advisor with over 30 years of experience in the industry. Steven is registered with LPL Financial LLC and Mariner Independent. Steven has a Series 7, Series 24, Series 31, Series 63 and Series 65 licenses. Steven specializes in financial planning, investment management, and retirement planning. Steven also offers consulting and other non-discretionary advisory services. Steven's office is located in Rocklin, CA.
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.
Consulting and other non-discretionary advisory services
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
CA
11/13/2015 - Present
LPL Financial LLC (ROCKLIN CA)
CA
10/31/2005 - 09/21/2009
SAGEPOINT FINANCIAL, INC. (ROSEVILLE CA)
AZ
07/31/2003 - 10/31/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
SC
06/02/1995 - 08/05/2003
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NY
08/19/1993 - 06/15/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/03/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/20/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/13/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 08/18/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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