Steven A. Sant
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 Arthur Sant, who also goes by Steve Sant, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2017 - December 9, 2019
PREMIER WEALTH MANAGEMENT, LLC
July 24, 2001 - December 16, 2010
SANT, MCMAHON & SPARKS, LLC
September 14, 2000 - September 30, 2019
COMMONWEALTH FINANCIAL NETWORK
September 8, 2000 - September 30, 2019
COMMONWEALTH FINANCIAL NETWORK
May 6, 1998 - September 8, 2000
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 18, 1993 - May 11, 1998
IDS LIFE INSURANCE COMPANY
March 18, 1993 - May 11, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PREMIER WEALTH MANAGEMENT, LLC
CRD#: 289806 / SEC#:
Contact information
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.
