Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Sarosy is a financial advisor with Avantax Advisory Services. Steven is based in Dallas, Texas. Steven is a registered investment advisor with over 30 years of experience in the financial services industry. He has experience in various financial services industries, including investment banking, brokerage, and insurance. Steven has held various financial positions, such as a Municipal Securities Principal, Registered Options Principal, General Securities Principal, and General Securities Sales Supervisor. Steven is committed to providing personalized financial advice to clients. He has experience working with high-net-worth individuals, corporations, and businesses. Steven is dedicated to helping his clients achieve their financial goals.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
TX
04/04/2007 - Present
Avantax Advisory Services (DALLAS TX)
TX
12/15/2003 - 08/01/2005
SOUTHWEST SECURITIES, INC. (DALLAS TX)
IL
10/21/2002 - 12/18/2003
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NJ
09/10/2001 - 09/04/2002
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
MA
08/09/1994 - 05/16/2001
BROWN & COMPANY SECURITIES CORPORATION (BOSTON MA)
NJ
12/19/1992 - 04/08/1994
ALL-TECH INVESTMENT GROUP, INC. (MONTVALE NJ)
NY
03/11/1992 - 09/01/1992
BEAR, STEARNS & CO. INC. (NEW YORK NY)
IA
Issued 02/14/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/15/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/03/2004
Series 4 - Registered Options Principal Examination
BC
Issued 06/11/2002
Series 24 - General Securities Principal Examination
BC
Issued 09/12/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 08/20/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2005
Series 3 - National Commodity Futures Examination
BC
Issued 03/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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