Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Infante is a financial advisor with Wells Fargo Securities, LLC, in Charlotte, North Carolina. He has been in the industry since November 23, 1990. Steven is registered with the state of New Jersey, New York, and North Carolina. He holds several industry licenses including Series 3, 4, 7, 8, 9, 10, 63 and 65. Steven has a background in financial services, working previously for UBS Financial Services Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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.
1
2
NC
05/14/2018 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NJ
12/11/2007 - 12/12/2017
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
PR
12/11/2007 - 12/12/2017
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (HATO REY PR)
NJ
12/11/2007 - 01/01/2010
UBS SERVICES USA LLC (WEEHAWKEN NJ)
NY
03/16/2006 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NJ
10/13/2003 - 03/23/2006
UBS SERVICES USA LLC (WEEHAWKEN NJ)
NJ
07/15/1993 - 03/23/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/18/1993 - 06/30/1993
YAMAICHI INTERNATIONAL (AMERICA) INC. (NEW YORK NY)
NY
10/07/1992 - 03/17/1993
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
12/11/1991 - 02/07/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
10/20/1987 - 03/19/1990
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 06/01/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/17/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/23/1996
Series 4 - Registered Options Principal Examination
BC
Issued 08/03/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2000
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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