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Steven Henry Umthun

Park Avenue Securities LLC

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About Steven Henry Umthun

Steven Henry Umthun is a financial advisor with Park Avenue Securities LLC. Steven has been in the financial services industry since October 2000. Steven is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 6, SIE, and Series 63 licenses. Steven provides financial planning, portfolio management for individuals and educational seminars to clients. Steven is also a registered investment advisor (IA) and has been registered in Iowa since August 2007. Prior to joining Park Avenue Securities LLC, Steven worked at Sunset Financial Services, Inc.

Firm Information

Steven Umthun is currently registered with Park Avenue Securities LLC. Park Avenue Securities LLC is a Limited Liability Company registered in the state of New York and has been operating since August 20, 1998. They provide financial planning and portfolio management services to individuals, high net worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and captive insurance clients. The firm has a nationwide reach with registered offices in 53 states and the District of Columbia.
Park Avenue Securities LLC

10 HUDSON YARDS

NEW YORK, NY 10001

$11.88B

Assets Under Management

38,141

Total Clients

2,244

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Steven Umthun’s Registration & Firm History

IA

08/01/2007 - Present

Park Avenue Securities LLC (CEDAR FALLS IA)

IA

10/20/2000 - 07/12/2007

SUNSET FINANCIAL SERVICES, INC. (CEDAR FALLS IA)

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Licenses & Designations

BC

Issued 10/12/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/19/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Henry Umthun.
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