Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Thomas Dum is an investment advisor representative at Osaic Wealth, Inc. Steven has been in the financial services industry since 1986. Steven Dum holds the Series 6, 7 and SIE licenses and has earned the Certified Financial Planner and Chartered Financial Consultant designations. Prior to joining Osaic Wealth, Inc., Steven was a registered representative at Signator Investors, Inc. and Transamerica Financial Advisors, Inc.
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.
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.
1
2
IN
11/02/2018 - Present
Osaic Wealth, Inc. (INDIANAPOLIS IN)
IN
05/13/2016 - 11/02/2018
SIGNATOR INVESTORS, INC. (INDIANAPOLIS IN)
IN
12/10/1991 - 05/13/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (INDIANAPOLIS IN)
CA
12/01/1988 - 11/30/1990
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NA
02/02/1987 - 09/09/1987
MANEQUITY, INC.
NA
09/05/1985 - 02/18/1987
PHOENIX EQUITY PLANNING CORPORATION
NA
07/18/1984 - 09/12/1985
NEL EQUITY SERVICES CORPORATION
BC
Issued 7/25/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/10/1996
Series 7 - General Securities Representative Examination
BC
Issued 7/17/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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