Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Paul Keller is an Investment Advisor Representative at Morgan Stanley. Steven has been in the financial services industry since December 1988 and has held positions with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co., Incorporated, and Morgan Stanley DW Inc. Steven is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Steven has been a member of the board of Meals on Wheels of Monterey County since April 2015. Steven provides asset allocation advice, financial planning services, pension consulting, educational seminars, and selection of other advisors.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
CA
04/15/2020 - Present
Morgan Stanley (Monterey CA)
CA
07/27/2007 - 10/06/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CARMEL CA)
CA
04/02/2007 - 07/31/2007
MORGAN STANLEY & CO., INCORPORATED (MONTEREY CA)
CA
01/17/1990 - 04/02/2007
MORGAN STANLEY DW INC. (MONTEREY CA)
NY
12/20/1988 - 02/02/1990
HIBBARD BROWN & CO., INC. (NEW YORK NY)
IA
Issued 10/29/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/06/1989
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 12/10/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/1991
Series 3 - National Commodity Futures Examination
BC
Issued 12/17/1988
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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