Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Guglielmoni is a financial advisor with over 40 years of experience in the financial services industry. Steven is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since April 2015. Prior to that, Steven worked for UBS Financial Services Inc. for over 20 years. Steven provides financial planning and portfolio management services to individual and institutional clients. Steven holds Series 1, 5, 7, 31, and 63 licenses as well as the SIE and Series 65.
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.
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.
Investment consulting services to institutional clients
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.
1
2
NY
12/06/2022 - Present
Wells Fargo Clearing Services, LLC (GARDEN CITY NY)
NY
01/28/1995 - 05/11/2015
UBS FINANCIAL SERVICES INC. (MELVILLE NY)
NY
08/13/1990 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
12/13/1988 - 08/16/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
04/23/1986 - 01/11/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
07/12/1984 - 04/25/1986
TWENTY-FIRST SECURITIES CORPORATION
NA
05/08/1981 - 07/10/1984
SHEARSON/AMERICAN EXPRESS INC.
NA
06/28/1983 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
NA
05/07/1981 - 07/05/1983
SHEARSON/AMERICAN EXPRESS INC.
NA
10/22/1980 - 06/08/1981
DONALD & CO. SECURITIES INC.
NA
05/18/1978 - 07/26/1978
FIRST INVESTORS CORPORATION
IA
Issued 09/13/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 10/18/1980
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1978
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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