Individual Firm
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Steve Stevens
Steve Leland Stevens
CRD#: 2699975
IA
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SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 2423 E. Lincoln Drive
Phoenix, AZ 85016-1215
Phoenix, AZ 85016-1215
CHARLES SCHWAB & CO., INC.CRD#: 5393 2423 E Lincoln Dr
Phoenix, AZ 85016-1215
Phoenix, AZ 85016-1215
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Disclosures
25
Years of Experience
View By:
State Registrations
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Arizona 8/5/2021
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New Mexico 8/3/2021
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Arizona 8/18/2021
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Oregon 8/3/2021
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California 8/3/2021
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Utah 8/3/2021
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Colorado 8/3/2021
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Washington 8/3/2021
B
Hawaii 8/3/2021
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Wyoming 8/3/2021
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Idaho 8/3/2021
SRO Registrations
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Registered with this firm since 8/18/2021
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Registered with this firm since 8/3/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/05/2019 - 05/05/2021 | PHOENIX, AZ | |
B | 11/05/2019 - 05/05/2021 | ATLANTA, GA | |
B | 11/05/2019 - 05/05/2021 | SCOTTSDALE, AZ | |
B | 11/05/2019 - 05/05/2021 | SCOTTSDALE, AZ | |
B | 11/05/2019 - 05/05/2021 | OAKDALE, MN | |
IA | 06/19/2015 - 11/04/2019 | CHANDLER, AZ | |
B | 06/19/2015 - 11/04/2019 | CHANDLER, AZ | |
IA | 09/25/2009 - 03/27/2015 | INDIANAPOLIS, IN | |
B | 09/25/2009 - 03/27/2015 | INDIANAPOLIS, IN | |
IA | 05/15/2009 - 08/19/2009 | SALT LAKE CITY, UT | |
B | 11/16/2006 - 08/19/2009 | SALT LAKE CITY, UT | |
B | 03/24/2006 - 10/02/2006 | AUSTIN, TX | |
B | 05/07/2002 - 10/02/2006 | AUSTIN, TX | |
B | 11/10/1999 - 05/08/2002 | WESTLAKE, TX | |
B | 10/28/1997 - 07/28/1998 | ST. LOUIS, MO |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.