Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Peng Xu is a registered investment advisor representative with Fidelity Personal and Workplace Advisors. Steven has been in the securities industry since 2001. Steven holds the Series 7, Series 63, and Series 65 licenses. Steven is also a registered representative in 53 states and the District of Columbia. Steven's previous employers include J.P. Morgan Securities LLC, Chase Investment Services Corp., Loring Ward Securities Inc. and E*TRADE Securities LLC. Fidelity Personal and Workplace Advisors is an investment advisory firm with approximately $1 billion - $10 billion in assets under management. The firm provides financial planning, educational seminars, selection of other advisors, and portfolio management for individuals and businesses.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
MA
01/12/2024 - Present
Fidelity Personal AND Workplace Advisors (BOSTON MA)
CA
10/01/2012 - 08/07/2015
J.P. MORGAN SECURITIES LLC (NEWARK CA)
CA
08/27/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEWARK CA)
CA
08/03/2006 - 03/01/2011
LORING WARD SECURITIES INC. (SAN JOSE CA)
CA
07/18/2001 - 08/04/2006
E*TRADE SECURITIES LLC (RANCHO CORDOVA CA)
IA
Issued 12/09/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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