Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven L Sears is a financial advisor with over 25 years of experience in the industry. Steven is currently registered with J.p. Morgan Securities LLC in San Francisco, CA. Steven has previously been registered with FIRST REPUBLIC SECURITIES COMPANY, LLC, WELLS FARGO ADVISORS, LLC, MORGAN STANLEY SMITH BARNEY, MORGAN STANLEY & CO. INCORPORATED, UBS FINANCIAL SERVICES INC., NOLLENBERGER CAPITAL PARTNERS INC., BA INVESTMENT SERVICES, INC., CHARLES SCHWAB & CO., INC. and MONARCH SECURITIES, INC. Steven holds a variety of licenses and certifications including Series 66, 63, 53, 24, 9, 10, 8, 52TO, SIE and 7. Steven's current firm, J.p. Morgan Securities LLC, is a large firm with over $50 billion in assets under management. J.p. Morgan Securities LLC offers a wide range of financial services including financial planning, pension consulting, selection of other advisors, and portfolio management. Steven is experienced in working with a variety of clients including individuals, corporations, and institutions.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
09/29/2023 - Present
J.p. Morgan Securities LLC (San Francisco CA)
CA
09/20/2012 - 09/29/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (San Francisco CA)
CA
02/03/2011 - 09/20/2012
WELLS FARGO ADVISORS, LLC (WALNUT CREEK CA)
CA
06/01/2009 - 06/11/2010
MORGAN STANLEY SMITH BARNEY (SAN FRANCISCO CA)
CA
04/09/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN FRANCISCO CA)
CA
09/09/2004 - 03/26/2008
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
CA
12/06/2002 - 12/18/2002
NOLLENBERGER CAPITAL PARTNERS INC. (SAN FRANCISCO CA)
CA
06/09/1998 - 09/03/1998
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
TX
10/12/1990 - 04/09/1998
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NA
07/31/1990 - 12/04/1990
MONARCH SECURITIES, INC.
BOTH
Issued 03/24/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/07/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/13/2018
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/22/2017
Series 24 - General Securities Principal Examination
BC
Issued 12/05/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/02/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/10/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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