Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Michael Roth is a financial advisor with Wells Fargo Clearing Services, LLC. Steven has over 20 years of experience in the financial services industry. Steven has a Series 7, Series 6, and Series 63 license. Steven has been registered with Wells Fargo Clearing Services, LLC since 2008. Prior to joining Wells Fargo Clearing Services, LLC, Steven was employed by A. G. Edwards & Sons, Inc. Steven's areas of expertise include: securities, mutual funds, fixed income, insurance and retirement planning.
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.
Investment consulting services to institutional clients
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.
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2
MO
01/01/2008 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
10/13/2005 - 01/01/2008
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
CT
02/18/2005 - 09/08/2005
PLANCO FINANCIAL SERVICES, INC. (HARTFORD CT)
MO
05/20/1999 - 02/14/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
MO
07/08/1998 - 04/19/1999
RYBACK MANAGEMENT CORPORATION (ST. LOUIS MO)
MN
11/25/1997 - 07/01/1998
LUTHERAN BROTHERHOOD SECURITIES CORP. (MINNEAPOLIS MN)
BC
Issued 12/04/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/14/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2008
Series 7 - General Securities Representative Examination
BC
Issued 11/21/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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