Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Mitchell is a securities professional with over 30 years of experience in the financial industry. Steven holds a variety of licenses and registrations, including Series 4, 7, 9, 10, 12, 24, 27, 52, 53, 63, and 99, and is registered with Charles Schwab & CO., Inc. in Colorado. Steven has previously held positions at VIP FINANCIAL COMPANIES, INC. and ATLAS SECURITIES, INC. Steven is a seasoned financial advisor with a wealth of knowledge in various investment strategies and can help 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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CO
11/02/1993 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
CA
07/08/1993 - 10/30/1993
ATLAS SECURITIES, INC. (SAN LEANDRO CA)
NA
06/29/1990 - 03/08/1993
VIP FINANCIAL COMPANIES, INC.
NA
10/24/1988 - 06/29/1990
V.I.P. FINANCIAL COMPANIES
BC
Issued 07/06/1990
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 08/03/1995
Series 12 - NYSE Branch Manager Examination
BC
Issued 07/18/1991
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/10/1990
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/18/1990
Series 4 - Registered Options Principal Examination
BC
Issued 12/20/1989
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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