Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Prom is a financial advisor at NFP Retirement Inc. Steven has been in the financial services industry since 2000. Steven is licensed in California and Minnesota and has a Series 63, 65, 66, and 7 licenses. Steven specializes in providing retirement planning, portfolio management, and financial planning services. Steven also provides research reports on 401(k) plans and diligence on investment lineups.
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.
Personalized portfolio management to meet individual financial objectives.
Research reports on 401(k) plans / diligence on investment lineups
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.
A percentage of the total value of assets under management is charged.
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2
CA
01/11/2018 - Present
NFP Retirement Inc. (ALISO VIEJO CA)
MN
12/08/2010 - 04/02/2018
KESTRA INVESTMENT SERVICES, LLC (PLYMOUTH MN)
MN
11/08/2002 - 05/27/2008
NFP SECURITIES, INC. (PLYMOUTH MN)
CT
10/26/2000 - 11/08/2002
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
BC
Issued 12/30/2010
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/23/2010
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 01/18/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/02/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/2010
Series 7 - General Securities Representative Examination
Active
Inactive
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