Steven R. Abbey
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 Radford Abbey, CFP®, who also goes by Steven R Abbey, Steven Abbey, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1997. Steven had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2009
Experience
February 5, 2015 - December 31, 2023
SPC
February 5, 2015 - December 31, 2023
SIGMA FINANCIAL CORPORATION
April 30, 2014 - January 30, 2015
PNC MANAGED ACCOUNT SOLUTIONS, INC.
April 29, 2014 - January 30, 2015
BBVA SECURITIES INC.
May 13, 2011 - April 19, 2013
USAA FINANCIAL PLANNING SERVICES
May 13, 2011 - April 19, 2013
USAA FINANCIAL ADVISORS, INC.
September 8, 2009 - April 25, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
September 8, 2009 - April 25, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 2007 - June 29, 2009
RIVERSTONE WEALTH MANAGEMENT, INC.
June 1, 2007 - June 29, 2009
RIVERSTONE WEALTH MANAGEMENT, INC.
April 8, 1997 - June 14, 2007
CITIGROUP GLOBAL MARKETS INC.
March 27, 1997 - June 14, 2007
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
