Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven William Haertel has been working in the financial industry since March 1997. Steven is currently registered with Empower Financial Services, Inc. in Connecticut, and previously worked for Prudential Investment Management Services LLC in Connecticut, Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, and Advest, Inc. in Connecticut. Steven has passed the Series 63, Series 26, Series 99TO, SIE, and Series 7 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.
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.
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2
CT
04/04/2022 - Present
Empower Financial Services, Inc. (Hartford CT)
CT
03/15/2007 - 04/04/2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (Hartford CT)
NY
03/08/2006 - 07/13/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CT
07/26/1996 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
BC
Issued 07/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/24/2015
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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