Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Roach is a financial advisor with over 30 years of experience in the industry. Steven currently works for Ameritas Advisory Services, LLC. Steven has a Series 7, 6, 26, 63, and 65 license as well as SIE certification and has worked at multiple firms over the years, including First Heartland Capital, Inc. and Brooklight Place Securities, Inc. Steven is registered with the state of Kansas and is also registered to provide investment advisory services in Kansas. Steven provides financial planning and investment management services to individuals and businesses. Steven also provides investment advice and services to insurance companies, charitable organizations, pension and profit-sharing plans, and corporations or other businesses.
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
KS
08/21/2024 - Present
Ameritas Advisory Services, LLC (DERBY KS)
KS
08/26/2022 - 08/21/2024
FIRST HEARTLAND CAPITAL, INC. (DERBY KS)
KS
01/16/2017 - 11/01/2018
FIRST HEARTLAND CAPITAL, INC. (DERBY KS)
KS
04/27/2015 - 11/01/2016
FIRST HEARTLAND CAPITAL, INC. (Derby KS)
KS
03/12/2012 - 12/09/2013
BROOKLIGHT PLACE SECURITIES, INC. (DERBY KS)
DE
10/19/2004 - 06/22/2005
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
GA
04/27/1999 - 12/31/1999
PFS INVESTMENTS INC. (DULUTH GA)
BOTH
Issued 06/03/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/14/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/23/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 08/26/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2012
Series 7 - General Securities Representative Examination
BC
Issued 04/26/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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