Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Patton Mann is a financial professional with over 27 years of experience in the industry. Steven is currently registered with Northern Trust Securities, Inc. and holds Series 4, 6, 7, 9, 10, 12, 24, 53, 63, and 65 licenses. Steven has previously held positions with Wells Fargo Clearing Services, LLC, Wells Fargo Investments, LLC, Wells Fargo Securities Inc. and BanCal Investment Services, Inc. Steven specializes in providing portfolio management for individuals, businesses, and pooled investment vehicles.
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.
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
CA
12/20/2021 - Present
Northern Trust Securities, Inc. (Newport Beach CA)
CA
01/03/2011 - 09/21/2021
WELLS FARGO CLEARING SERVICES, LLC (BEVERLY HILLS CA)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (PASADENA CA)
CA
08/28/1995 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
04/18/1994 - 08/30/1994
BANCAL INVESTMENT SERVICES, INC.
IA
Issued 10/28/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/19/2000
Series 12 - NYSE Branch Manager Examination
BC
Issued 12/22/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/23/1999
Series 4 - Registered Options Principal Examination
BC
Issued 04/14/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/1996
Series 7 - General Securities Representative Examination
BC
Issued 04/15/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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