Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Norris is a financial advisor with Morgan Stanley, a firm with $10 billion - $50 billion in assets under management. Steven is a registered representative and investment advisor representative in Connecticut and Texas. Steven has a long and varied career in the financial services industry, having worked at several other firms in the past. Steven has expertise in the financial services industry, having worked for over 20 years. Steven has passed the Series 6, 7, 31, and 63 exams.
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
CT
02/22/2022 - Present
Morgan Stanley (Hartford CT)
CT
05/17/2010 - 03/01/2022
WELLS FARGO CLEARING SERVICES, LLC (HARTFORD CT)
CT
03/26/2008 - 05/19/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HARTFORD CT)
CT
03/17/2006 - 04/01/2008
WACHOVIA SECURITIES, LLC (HARTFORD CT)
MO
08/12/2005 - 12/31/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
CT
12/01/2002 - 09/30/2003
UST SECURITIES CORP. (STAMFORD CT)
NY
09/30/1997 - 12/01/2002
UST FINANCIAL SERVICES CORP. (NEW YORK NY)
IA
Issued 04/06/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/25/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 09/25/2001
Series 7 - General Securities Representative Examination
BC
Issued 09/29/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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