Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Kenneth Arcos is a financial professional with over 30 years of experience in the industry. Steven is currently registered with LPL Financial LLC and has previously held positions at B. Riley Wealth Management, Oppenheimer & Co. Inc., CIBC World Markets Corp., Dean Witter Reynolds Inc. and PaineWebber Incorporated. Steven holds multiple licenses including Series 7, Series 9, Series 10, Series 63, Series 99TO and the SIE. Steven is a licensed securities professional and has expertise in financial planning, portfolio management for individuals and businesses, pension consulting and other non-discretionary advisory services.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
08/06/2021 - Present
LPL Financial LLC (NEWPORT BEACH CA)
CA
02/09/2021 - 08/11/2021
B. RILEY WEALTH MANAGEMENT (Los Angeles CA)
CA
01/03/2003 - 02/12/2021
OPPENHEIMER & CO. INC. (LOS ANGELES CA)
NY
07/25/2000 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
12/10/1997 - 08/04/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NJ
08/29/1997 - 10/06/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
08/19/1991 - 09/09/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 10/24/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/04/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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