Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Tran is a financial professional with over 14 years of experience in the financial services industry. Steven is currently registered with Northwestern Mutual Investment Services, LLC in Milwaukee, WI. Prior to joining Northwestern Mutual Investment Services, LLC, Steven was employed by Wells Fargo Clearing Services, LLC, Centaurus Financial, Inc., LPL Financial LLC, TD Ameritrade Clearing, Inc., TD Ameritrade, Inc., and First Allied Securities, Inc. Steven holds a Series 66 license and has successfully completed several industry exams, including the Series 7, Series 9, Series 10, Series 24, Series 4, SIE, and Series 99TO exams. Steven is committed to providing personalized financial advice and guidance to his 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.
Investment research; referrals to other advisers
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.
Referral fees
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WI
01/06/2024 - Present
Northwestern Mutual Investment Services, LLC (Milwaukee WI)
CA
04/06/2020 - 06/10/2021
WELLS FARGO CLEARING SERVICES, LLC (IRVINE CA)
CA
03/03/2017 - 12/09/2019
CENTAURUS FINANCIAL, INC. (ANAHEIM CA)
CA
06/09/2015 - 06/21/2016
LPL FINANCIAL LLC (SAN DIEGO CA)
NE
07/22/2014 - 05/18/2015
TD AMERITRADE CLEARING, INC. (OMAHA NE)
CA
04/25/2014 - 05/18/2015
TD AMERITRADE, INC. (SAN DIEGO CA)
CA
08/29/2012 - 04/10/2014
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
09/29/2008 - 08/31/2012
LPL FINANCIAL LLC (SAN DIEGO CA)
BOTH
Issued 12/5/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/25/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 6/26/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/13/2012
Series 4 - Registered Options Principal Examination
BC
Issued 7/11/2011
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/26/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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