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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Schwartz is a financial advisor with over 30 years of experience in the industry. Steven currently works at Wealthpenn.comllc and is licensed to provide investment advice in multiple states. Steven has experience working for other firms, including Wells Fargo Advisors Financial Network, LLC and Morgan Stanley. Steven holds a variety of licenses and certifications, including Series 3, 7, 9, 10, 63, and 65. Steven provides financial planning, portfolio management, and other advisory services to individual and institutional clients.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NY
05/09/2019 - Present
Wealthpenn.comllc (New York NY)
PA
11/01/2016 - 05/07/2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (FORT WASHINGTON PA)
PA
12/17/2012 - 10/21/2016
WELLS FARGO ADVISORS, LLC (PHILADELPHIA PA)
PA
06/01/2009 - 01/11/2013
MORGAN STANLEY (JENKINTOWN PA)
PA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (JENKINTOWN PA)
PA
07/02/1999 - 04/02/2007
MORGAN STANLEY DW INC. (JENKINTOWN PA)
NY
07/31/1993 - 07/09/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
07/15/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 7/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/14/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 2/14/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/26/2004
Series 3 - National Commodity Futures Examination
BC
Issued 7/7/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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