Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Brown is a financial professional with over 10 years of experience in the industry. Steven has a strong background in both investment advising and brokerage services, working with clients on various financial needs. Steven has experience with a variety of firms, including Charles Schwab, Thurston Springer Financial and Wells Fargo Clearing Services. Currently, Steven is registered with Wells Fargo Clearing Services, LLC and provides services in Indiana and Ohio. Steven's expertise lies in providing portfolio management for individuals and businesses, as well as financial planning and selection of other advisers.
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.
Investment consulting services to institutional clients
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.
1
2
IN
09/27/2022 - Present
Wells Fargo Clearing Services, LLC (INDIANAPOLIS IN)
IN
08/30/2022 - 09/06/2022
SANCTUARY SECURITIES, INC. (INDIANAPOLIS IN)
OH
12/16/2021 - 09/01/2022
WELLS FARGO CLEARING SERVICES, LLC (TOLEDO OH)
IN
03/02/2021 - 09/16/2021
THURSTON SPRINGER FINANCIAL (INDIANAPOLIS IN)
IN
03/31/2020 - 03/03/2021
CHARLES SCHWAB & CO., INC. (Indianapolis IN)
IN
10/07/2011 - 11/26/2019
CHARLES SCHWAB & CO., INC. (Indianapolis IN)
BOTH
Issued 01/21/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/07/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/05/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/28/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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