Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven R. Baaden is a financial advisor with over 39 years of experience in the industry. Steven currently works for Oppenheimer & Co. Inc. in Dallas, TX. Prior to that, Steven was employed by various firms including MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC., UBS FINANCIAL SERVICES INC., BATEMAN EICHLER, HILL RICHARDS, INCORPORATED and COASTAL SECURITIES CORPORATION. Steven is registered to provide investment advice in 26 states and is also registered to provide investment advice in Texas and California. Steven is a licensed Series 63 and 65 holder. Steven has held various leadership positions and earned the Series 7, 8, 9, 10, and SIE licenses.
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
TX
02/28/2022 - Present
Oppenheimer & Co. Inc. (DALLAS TX)
CA
09/26/2008 - 02/13/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EL SEGUNDO CA)
CA
05/20/2005 - 10/07/2008
CITIGROUP GLOBAL MARKETS INC. (EL SEGUNDO CA)
NJ
11/21/1986 - 06/16/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NA
11/23/1984 - 12/01/1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
07/20/1984 - 11/26/1984
COASTAL SECURITIES CORPORATION
IA
Issued 03/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1986
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 03/03/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
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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