Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Shi is a financial advisor with Wells Fargo Clearing Services, LLC. Steven has been in the financial services industry since 1997 and is registered with FINRA and the state of Texas. Steven has Series 6, 7, 63, and 65 licenses and has a SIE exam. Steven offers investment consulting services to institutional clients, financial planning, pension consulting, portfolio management for businesses and individuals, and selection of other advisors. Prior to joining Wells Fargo Clearing Services, LLC Steven worked at Wells Fargo Investments, LLC, WM Financial Services, Inc., Bank United Securities Corp., Chase Investment Services Corp., Chase Securities of Texas, Inc., MetLife Securities Inc., and Metropolitan Life Insurance Company.
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
TX
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (DALLAS TX)
TX
11/06/2003 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (GRAPEVINE TX)
CA
04/05/2000 - 04/11/2003
WM FINANCIAL SERVICES, INC. (IRVINE CA)
TX
03/13/2000 - 03/28/2000
BANK UNITED SECURITIES CORP. (HOUSTON TX)
IL
03/01/1999 - 03/10/2000
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
TX
07/14/1998 - 03/01/1999
CHASE SECURITIES OF TEXAS, INC. (HOUSTON TX)
MA
12/19/1997 - 02/05/1998
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
12/19/1997 - 02/05/1998
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 06/26/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/18/1997
Series 6 - Investment Company Products/Variable Contracts 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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