Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you W. james? Claim Your ProfileW. James Steen is a financial professional with over 40 years of experience in the financial services industry. W. James Steen is a Certified Financial Planner and is currently registered with Cetera Investment Advisers LLC in Ohio and Texas. W. James Steen has previously been registered with several other firms including VESTAX SECURITIES CORPORATION, IFG NETWORK SECURITIES, INC. and BANC ONE SECURITIES CORPORATION. W. James Steen has a wide range of experience in financial services, including financial planning, portfolio management, insurance, and tax preparation. W. James Steen provides a variety of services to individuals, businesses, and institutions.
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.
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.
A percentage of the total value of assets under management is charged.
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2
OH
03/21/2024 - Present
Cetera Investment Advisers LLC (DAYTON OH)
OH
11/25/1996 - 01/01/2004
VESTAX SECURITIES CORPORATION (HUDSON OH)
GA
01/13/1995 - 03/06/1997
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
IL
08/10/1993 - 01/13/1995
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
GA
12/11/1992 - 08/19/1993
IFG NETWORK SECURITIES, INC. (ATLANTA GA)
GA
08/31/1989 - 12/31/1992
PLANNED INVESTMENTS INC. (ATLANTA GA)
NJ
01/18/1988 - 09/07/1989
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
02/15/1988 - 03/04/1988
SHEARSON LEHMAN HUTTON INC.
NA
03/10/1981 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
10/30/1980 - 12/01/1980
PHOENIX EQUITY PLANNING CORPORATION
BC
Issued 05/28/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/28/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/16/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/1983
Series 7 - General Securities Representative Examination
BC
Issued 10/20/1980
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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