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 Swensen is an investment advisor representative who has been in the industry since 2012. Steven currently works for Great Lakes Advisors, LLC. Steven has previously worked at Morgan Stanley, Janus Distributors LLC, Fidelity Investments Institutional Services Company, Inc., and Fidelity Brokerage Services LLC. Steven is registered in Illinois and has a Series 63, Series 66, Series 7 and SIE license.
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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Fulcrum fee; asset-based fee contingent on performance
1
2
IL
09/06/2023 - Present
Great Lakes Advisors, LLC (CHICAGO IL)
UT
05/15/2017 - 05/18/2022
MORGAN STANLEY (Salt Lake City UT)
CO
04/25/2003 - 02/12/2004
JANUS DISTRIBUTORS LLC (DENVER CO)
RI
02/21/2001 - 10/30/2002
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
11/14/1997 - 02/21/2001
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BOTH
Issued 06/03/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/13/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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