Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Jay Appelson is a financial advisor registered with J.P. Morgan Securities LLC, a broker-dealer with more than 200,000 clients and over $249 billion in assets under management. Steven has been in the financial industry since 2007 and has worked for several firms, including UBS Securities LLC and Capstone Global Markets, LLC. Steven holds a Series 7, Series 24, Series 3, and Series 4 license. Steven specializes in securities, commodities, options, and futures.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
05/15/2013 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
07/14/2010 - 04/24/2013
UBS SECURITIES LLC (NEW YORK NY)
NY
09/09/2009 - 06/11/2010
CAPSTONE GLOBAL MARKETS, LLC (NEW YORK NY)
NY
09/09/2009 - 10/01/2009
CAPSTONE TRADING L.L.C. (NEW YORK NY)
NY
01/12/2007 - 09/15/2009
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 12/18/2009
Series 24 - General Securities Principal Examination
BC
Issued 11/13/2007
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/11/2007
Series 7 - General Securities Representative Examination
BC
Issued 02/04/1991
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 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
N
Nasdaq BX, Inc.
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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