Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven I Balaban is a financial advisor with over 30 years of experience in the financial services industry. Steven has been registered with the Securities and Exchange Commission (SEC) since 1992 and holds several industry designations, including Certified Financial Planner. Steven currently works at Concorde Asset Management, LLC in San Diego, CA. Steven is a registered investment advisor representative and provides financial planning, portfolio management, and other related services to individual and institutional clients.
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.
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.
Promoter fees from other advisors
1
2
CA
03/25/2019 - Present
Concorde Asset Management, LLC (San Diego CA)
CA
04/18/2014 - 07/31/2018
INDEPENDENT FINANCIAL GROUP, LLC (SAN DIEGO CA)
CA
07/07/2006 - 07/27/2010
UBS FINANCIAL SERVICES INC. (LA JOLLA CA)
CA
07/31/1993 - 07/17/2006
CITIGROUP GLOBAL MARKETS INC. (SAN DIEGO CA)
NY
09/21/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
11/07/1986 - 09/24/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
07/23/1985 - 11/06/1986
BUCHANAN & CO., INC.
BOTH
Issued 04/23/2014
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/02/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/2014
Series 7 - General Securities Representative Examination
BC
Issued 10/23/1990
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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