Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Sweetwood is a registered representative with Stifel, Nicolaus & Company, Inc. located in New York, NY. Steven is a securities professional with over 30 years of experience in the financial services industry. Steven has held previous positions at Barclays Capital Inc., J.P. Morgan Securities LLC, Smith Barney, Harris Upham & Co., Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Steven holds Series 63, SIE, and Series 7 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.
1
2
NY
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
12/10/2010 - 12/04/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
08/12/1988 - 12/14/2010
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NA
10/06/1987 - 08/30/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
04/29/1987 - 10/28/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 08/11/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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