Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Philip Auerfeld is a registered investment advisor representative at Oppenheimer & Co. Inc. Steven has been in the securities industry since September 30, 1984 and has experience with a variety of firms. Previously, Steven worked at CIBC WORLD MARKETS CORP., GARBAN LLC, CANTOR FITZGERALD SECURITIES, CANTOR FITZGERALD PARTNERS, GARBAN LIMITED, GARBAN SECURITIES, INC., and MKI SECURITIES CORP. Steven is registered with the states of Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, Missouri, New Jersey, New York, Pennsylvania, and South Carolina. Steven has passed the Series 31, Series 66, Series 7, Series 24, and SIE exams and has several specialized areas of expertise including Portfolio Management for Individuals, Portfolio Management for Businesses, and Portfolio Management for 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.
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.
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.
1
2
PA
12/08/2015 - Present
Oppenheimer & Co. Inc. (PHILADELPHIA PA)
NY
04/17/2000 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
11/16/1998 - 01/07/2000
GARBAN LLC (NEW YORK NY)
NY
09/07/1990 - 11/05/1998
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
09/06/1990 - 11/05/1998
CANTOR FITZGERALD PARTNERS (NEW YORK NY)
NY
02/15/1989 - 08/28/1990
GARBAN LIMITED (NEW YORK NY)
NJ
11/22/1988 - 08/28/1990
GARBAN SECURITIES, INC. (JERSEY CITY NJ)
NA
02/05/1985 - 11/04/1988
MKI SECURITIES CORP.
NA
10/20/1982 - 07/08/1983
SHEARSON/AMERICAN EXPRESS INC.
IA
Issued 9/24/2007
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 4/15/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 2/25/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/24/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 10/16/1982
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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