Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Dearing is a financial professional with over 30 years of experience in the industry. Steven currently works as a registered representative at Stephens in New York, NY. Steven has held previous positions with Imperial Capital, LLC, Cantor Fitzgerald & Co., J.P. Morgan Securities LLC, J.P. Morgan Securities Inc., and Bear, Stearns & Co. Inc. Steven holds Series 7, 9, 10, 24, 55, 57TO, 79 and SIE licenses.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
11/27/2017 - Present
Stephens (NEW YORK NY)
NY
02/19/2013 - 12/08/2017
IMPERIAL CAPITAL, LLC (NEW YORK NY)
NY
01/03/2012 - 05/31/2012
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
10/01/2008 - 01/17/2012
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
06/02/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
05/05/1989 - 06/02/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 01/16/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/20/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/25/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/27/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 07/14/2010
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/16/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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