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 Umstead is a financial advisor who has been in the industry since September 7, 1990. Steven is currently registered with Charles Schwab & CO., INC. in Maryland and Texas. Steven has a wide range of experience, having previously worked at firms such as USAA FINANCIAL ADVISORS, INC., MORGAN STANLEY SMITH BARNEY, and CITIGROUP GLOBAL MARKETS INC. Steven is also a Certified Financial Planner. Steven has a history of working with a variety of clients, including individuals, high-net-worth individuals, corporations, and other businesses. Steven offers a variety of services, including financial planning, investment management, and selection of other advisers. Steven is committed to providing clients with personalized advice and guidance to help them 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
MD
02/27/2024 - Present
Charles Schwab & CO., Inc. (Bethesda MD)
VA
09/18/2013 - 05/24/2020
USAA FINANCIAL ADVISORS, INC. (Vienna VA)
NJ
08/28/2012 - 10/12/2012
BLACKBOOK CAPITAL LLC (HILLSIDE NJ)
VA
06/01/2009 - 02/07/2011
MORGAN STANLEY SMITH BARNEY (ALEXANDRIA VA)
VA
03/30/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ALEXANDRIA VA)
DC
07/18/2000 - 04/04/2007
FIDELITY BROKERAGE SERVICES LLC (WASHINGTON DC)
MA
04/01/1998 - 06/28/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
FL
02/07/1997 - 04/01/1998
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
RI
02/25/1992 - 02/19/1997
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NA
08/03/1990 - 02/21/1992
F.N. WOLF & CO., INC.
IA
Issued 6/9/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/9/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/1997
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/23/1997
Series 4 - Registered Options Principal Examination
BC
Issued 3/26/1997
Series 24 - General Securities Principal Examination
BC
Issued 5/31/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/2/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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