Steve is a graduate of the United States Military Academy at West Point, NY and earned a Masters in Business Administration from the University of Houston. He has over 20 years of experience in the financial industry having served as a Wealth Management / Financial Advisor in the Private Client Groups at Merrill Lynch and Southwest Securities prior to joining LPL. Steve’s experience includes providing financial advice and services to small and mid-size companies, as well as investment management for individuals and families.

Credentials

State Securities Law Exam
Series 65 – Uniform Investment Adviser Law Examination
Series 63 – Uniform Securities Agent State Law Examination

General Industry/Products Exam
Series 31 – Futures Managed Funds Examination
Series 7 – General Securities Representative Examination

Series 63, 31 and 7 held through LPL Financial. Series 65 held through Sovereign Wealth Advisors, LLC

State Registrations
Colorado, New York, Texas, Washington

SRO Registrations
FINRA