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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 Karmazin has been a financial professional since 1993. Steven currently works with LPL Financial LLC. Steven has held previous positions with UBS Financial Services Inc., Stone & Youngberg LLC, RBC Dain Rauscher Inc., Sutro & Co. Incorporated, Nomura Securities International, Inc., and Smith Barney Shearson Inc.. Steven holds Series 65, Series 63, Series 53, Series 24, Series 10, Series 9, Series 99TO, Series 57TO, SIE, Series 55, and Series 7 licenses. Steven is registered in California, North Carolina, and South Carolina and provides services to a variety of clients including high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, charitable organizations, pension and profit-sharing plans, investment clubs, and state or municipal government entities.
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.
Consulting and other non-discretionary advisory services
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.
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CA
06/29/2010 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
10/11/2007 - 02/09/2010
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
CA
04/10/2002 - 12/12/2005
STONE & YOUNGBERG LLC (SAN FRANCISCO CA)
NY
03/09/2002 - 04/22/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
01/18/1996 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
05/26/1994 - 11/16/1995
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
01/15/1993 - 05/31/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
IA
Issued 02/06/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/24/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/24/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/27/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/24/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/22/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/11/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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