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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 Harman Mogul is an active investment advisor representative with Arete Wealth Advisors, LLC. Steven has been in the financial services industry since 1997, and has a strong background in securities and investment advising. Steven has passed several industry exams, including Series 7, Series 3, Series 65, Series 10, Series 9, and Series 63. Steven is also a board member of the Ann & Robert H Lurie Children's Hospital Children's Research Fund.
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.
Non-discretionary investment advice regarding securities of affiliates of masterworks.io, llc.
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.
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.
Sharing in underwriting fees from an affiliated broker-dealer
1
2
IL
06/23/2023 - Present
Arete Wealth Advisors, LLC (Northbrook IL)
PA
11/14/2003 - 09/03/2020
UBS FINANCIAL SERVICES INC. (PITTSBURGH PA)
NY
01/15/1997 - 11/28/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 06/15/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/23/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/28/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/28/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/28/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/1997
Series 3 - National Commodity Futures Examination
BC
Issued 01/14/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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