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 Simes is a financial advisor with over 30 years of experience in the industry. Steven has been with Wells Fargo Clearing Services, LLC since 2016, and has a wealth of experience working with individual and institutional clients. Steven has worked at several firms, including FIRST ALLIED SECURITIES, INC., CENTAURUS FINANCIAL, INC., EQ FINANCIAL CONSULTANTS, INC., and THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES. Steven is registered with the following regulatory bodies: FINRA and the states of California, Connecticut, Delaware, Florida, Idaho, Illinois, Indiana, Iowa, Kansas, Maryland, Massachusetts, New Jersey, New York, North Carolina, Pennsylvania, Rhode Island, Tennessee, Texas, Utah, and Virginia. Steven specializes in financial planning, portfolio management for businesses and individuals, and investment consulting services to institutional clients.
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
NY
12/21/2023 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
CT
04/29/2006 - 12/12/2012
FIRST ALLIED SECURITIES, INC. (RIVERSIDE CT)
CT
05/11/1999 - 04/21/2006
CENTAURUS FINANCIAL, INC. (STAMFORD CT)
NY
05/09/1991 - 03/30/1999
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
05/09/1991 - 03/30/1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 11/30/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2008
Series 24 - General Securities Principal Examination
BC
Issued 08/21/1995
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/2006
Series 7 - General Securities Representative Examination
BC
Issued 05/08/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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