Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven T. Novotny is a financial advisor at LPL Financial LLC, where he has been since November 2020. Steven has been in the financial services industry since October 2000. Before joining LPL Financial LLC, Steven worked at Cambridge Investment Research, Inc., and AXA Advisors, LLC. He holds the Series 7, Series 24 and Series 66 licenses and is registered to provide securities and investment advisory services in 40 states. Steven is also a Certified Financial Planner.
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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2
NY
11/09/2020 - Present
LPL Financial LLC (ALBANY NY)
NY
11/16/2012 - 11/12/2020
CAMBRIDGE INVESTMENT RESEARCH, INC. (ALBANY NY)
NY
10/31/2000 - 11/28/2012
AXA ADVISORS, LLC (ALBANY NY)
BOTH
Issued 11/14/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/03/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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