Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven John Szmak is a financial advisor in Flemington, NJ with over 40 years of experience in the industry. Steven has been registered with Morgan Stanley since 2013. Prior to that, Steven was with Wells Fargo Advisors, LLC, Prudential Securities Incorporated, and The Equitable Life Assurance Society of the United States. Steven holds Series 6, 7, 31, 63, 65 and SIE licenses. Steven offers asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, portfolio management for individuals, and portfolio management for investment companies.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
05/05/2020 - Present
Morgan Stanley (Flemington NJ)
NJ
07/01/2003 - 09/23/2013
WELLS FARGO ADVISORS, LLC (FLEMINGTON NJ)
NY
07/20/1983 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
01/20/1982 - 06/29/1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
IA
Issued 11/16/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/05/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
BC
Issued 01/11/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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