Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Balaban is a registered representative of Hilltop Securities Inc. Steven has been in the securities industry since June 21, 1983. Steven has been registered with Hilltop Securities Inc. since February 2017 and has been associated with the firm in the Dallas, TX branch office. Steven is licensed in several states, including CA, FL, IL, KS, NY, OK, and TX. Steven also has a Series 7, 3, 5, 9, 10, 15 and SIE licenses, which allows Steven to offer a range of investment products and services, including mutual funds, stocks, bonds, and options.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
12b-1 fees
1
2
OK
02/10/2017 - Present
Hilltop Securities Inc. (OKLAHOMA CITY OK)
OK
08/23/2011 - 02/10/2017
WFG INVESTMENTS, INC. (Edmond OK)
OK
06/01/2009 - 09/07/2011
MORGAN STANLEY SMITH BARNEY (OKLAHOMA CITY OK)
OK
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (OKLAHOMA CITY OK)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/22/1983 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 08/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/30/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/09/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/1995
Series 15 - Foreign Currency Options Examination
BC
Issued 07/24/1995
Series 5 - Interest Rate Options Examination
BC
Issued 08/17/1990
Series 3 - National Commodity Futures Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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