Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Baller is a registered representative and investment advisor representative with Wells Fargo Clearing Services, LLC. Steven is a well-established professional with extensive experience in the financial services industry. Steven has passed the Series 66, SIE, and Series 7 exams. Steven has held a number of roles within financial services, including a position with New England Securities. Steven is currently registered with Wells Fargo Clearing Services, LLC and has a network of clients throughout the United States. Steven is committed to providing clients with a range of services including financial planning, investment management, and selection of other advisors.
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.
1
2
SC
05/12/2016 - Present
Wells Fargo Clearing Services, LLC (CHARLESTON SC)
SC
05/02/2007 - 10/05/2007
NEW ENGLAND SECURITIES (CHARLESTON SC)
BOTH
Issued 04/24/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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