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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 Irwin Traum is a financial advisor with over 10 years of experience in the industry. Steven Traum is currently registered with LPL Financial LLC in Rockville Centre, New York. Steven Traum has a Series 7, Series 63, and Series 65 license. Steven Traum has worked with INVEST FINANCIAL CORPORATION, CADARET, GRANT & CO., INC., DEALERWEB INC., RAFFERTY CAPITAL MARKETS, LLC and ALPS DISTRIBUTORS, INC. Steven Traum is also registered as an Investment Advisor Representative in Florida and New York. Steven Traum provides a variety of financial services, including financial planning, portfolio management, and consulting.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
09/12/2024 - Present
LPL Financial LLC (ROCKVILLE CENTRE NY)
NY
09/18/2014 - 05/03/2017
INVEST FINANCIAL CORPORATION (BETHPAGE NY)
NY
11/05/2013 - 09/05/2014
CADARET, GRANT & CO., INC. (JERICHO NY)
NY
10/14/2011 - 12/05/2012
DEALERWEB INC. (GARDEN CITY NY)
NY
06/01/2010 - 10/13/2011
RAFFERTY CAPITAL MARKETS, LLC (GARDEN CITY NY)
NY
11/25/2009 - 06/02/2010
ALPS DISTRIBUTORS, INC. (NEW YORK NY)
IA
Issued 04/02/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/03/2017
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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