Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Nulty is a financial advisor with Wells Fargo Clearing Services, LLC. Steven is a registered representative with 25 years of experience in the financial services industry. Steven has experience working with a range of clients, including individuals, families, businesses, and institutions. Steven holds a variety of licenses and certifications, including Series 7, Series 10, Series 24, Series 52TO, Series 53, and Series 63. Steven also holds the SIE and Series 65 licenses. Steven is committed to providing his clients with personalized financial advice and guidance. Steven is also dedicated to helping his clients achieve their financial goals.
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
MD
09/16/2022 - Present
Wells Fargo Clearing Services, LLC (COLUMBIA MD)
MD
11/24/2014 - 04/09/2021
PNC INVESTMENTS (BALTIMORE MD)
MD
03/29/2011 - 11/27/2012
PNC INVESTMENTS (BALTIMORE MD)
NY
03/25/2010 - 05/14/2010
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
05/29/2007 - 04/04/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
08/28/1995 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NY
01/09/1991 - 05/09/1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 04/07/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/10/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/10/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/06/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/13/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/27/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/08/1991
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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