Steven J. Larson

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CRD#: 1147343

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Steven Jay Larson was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 10, 2003 - October 19, 2011

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

RIA

CRD#: 104518

CHICAGO, IL

Past

July 25, 1996 - January 3, 2025

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

December 4, 1991 - December 7, 1995

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

November 26, 1986 - October 1, 1991

CLAYTON BROWN & ASSOCIATES, INC.

CRD#: 3664

CHICAGO, IL

Past

September 12, 1984 - July 16, 1986

HILLTOP SECURITIES INC.

CRD#: 6220

Past

August 24, 1983 - September 14, 1984

INSTITUTIONAL EQUITY CORPORATION

CRD#: 4035

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

CRD#: 104518 / SEC#: 801-252

RIA

Registered Investment Advisory firm - (11/1/1940 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/7/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/22/1995

General Securities Principal Examination

Current Firm

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

CRD#: 104518 / SEC#: 801-252

RIA

Registered Investment Advisory firm - (11/1/1940 Approved)

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Contact information

Main Address

875 Third Avenue, New York, NY 10022

Mailing Address

Phone number

(212) 454-4500

Established

Firm type

Fiscal year end

# of Employees

479

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DWS INVESTMENT MANAGEMENT AMERICAS, INC. FORM ADV PART 2A BROCHURE (4/4/2025)

Regulatory assets under management

Total Number of Accounts	571
AUM (Assets Under Management)	$ 193,108,369,361

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Steven J. Larson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DWS DISTRIBUTORS, INC.

FIRST TRUST PORTFOLIOS L.P.

CLAYTON BROWN & ASSOCIATES, INC.

HILLTOP SECURITIES INC.

INSTITUTIONAL EQUITY CORPORATION

Primary Firm SEC Registration

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/7/2003

Series 63

Date: 8/29/1983

SIE

Date: 10/1/2018

Series 7

Date: 8/20/1983

Series 24

Date: 2/22/1995

Current Firm

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

TRUST BUT VERIFY

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