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 an investment advisor representative registered with Northwestern Mutual Investment Services, LLC. Steven has over 14 years of experience in the financial services industry. Steven has been registered with the state of Wisconsin since 2022. Prior to that, Steven held roles at firms such as Wells Fargo Clearing Services, LLC, Centaurus Financial, Inc., and LPL Financial LLC. Steven holds a Series 66 license, as well as Series 4, 7, 9, 10, 24, 99, and SIE licenses.
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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2
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 12/05/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/25/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/26/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/13/2012
Series 4 - Registered Options Principal Examination
BC
Issued 07/11/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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