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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 Mitchell is a financial advisor at Morgan Stanley. Steven has been in the financial services industry since 1987. Steven has a wide range of experience, having worked at several firms before joining Morgan Stanley. Steven is registered with the state of Texas and is a Series 7, 63, 66, 24, 27, 4, 53, 31, 52TO and 99TO licensed professional. Steven is a financial professional who is committed to providing clients with personalized financial advice and guidance.
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
TX
06/01/2009 - Present
Morgan Stanley (San Antonio TX)
TX
03/29/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN ANTONIO TX)
TX
02/07/1990 - 03/30/2005
BROADWAY BROKERAGE SERVICES, INC. (SAN ANTONIO TX)
CA
05/10/2002 - 03/10/2005
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
TX
08/20/1987 - 01/23/1990
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 07/25/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/1996
Series 27 - Financial and Operations Principal Examination
BC
Issued 09/07/1994
Series 4 - Registered Options Principal Examination
BC
Issued 04/06/1994
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/13/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/10/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 08/15/1987
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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