Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Tann is a financial advisor with over 30 years of experience in the industry. Steven is currently registered with Wells Fargo Clearing Services, LLC and has held previous registrations with J.P. Morgan Securities LLC and Morgan Stanley Smith Barney. Steven has a wide range of experience, having worked with individual investors, high-net-worth individuals, corporations and charitable organizations. Steven is also a licensed broker-dealer and investment advisor representative in multiple states. Steven's specialties include securities, commodities, insurance, financial planning and portfolio management.
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.
Investment consulting services to institutional clients
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
CA
01/18/2022 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
CA
04/05/2012 - 01/15/2022
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
04/23/2010 - 05/04/2012
MORGAN STANLEY SMITH BARNEY (BEVERLY HILLS CA)
NA
01/27/1988 - 06/21/1988
OPPENHEIMER & CO., INC.
NA
02/09/1987 - 02/12/1988
E. F. HUTTON & COMPANY INC
NA
01/02/1987 - 01/21/1987
BEAR, STEARNS & CO. INC.
BOTH
Issued 06/03/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2010
Series 7 - General Securities Representative Examination
BC
Issued 03/10/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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