Steven T. Ferretti
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 Thomas Ferretti, who also goes by Steven Thomas Ferretti, Steven Ferretti, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2000. Steven had worked at 9 firms and has passed the Series 65, Series 66, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2018 - August 28, 2025
FISHER INVESTMENTS
August 30, 2017 - August 22, 2018
EDWARD JONES
August 25, 2017 - August 22, 2018
EDWARD JONES
August 18, 2016 - August 30, 2017
TRUIST ADVISORY SERVICES, INC.
September 10, 2012 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
September 7, 2012 - August 30, 2017
TRUIST INVESTMENT SERVICES, INC.
June 15, 2010 - September 10, 2012
U.S. BANCORP INVESTMENTS, INC.
June 14, 2010 - September 10, 2012
U.S. BANCORP INVESTMENTS, INC.
October 23, 2009 - June 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - June 14, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 7, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 29, 2005 - July 12, 2006
TRUIST INVESTMENT SERVICES, INC.
October 6, 2005 - July 12, 2006
TRUIST INVESTMENT SERVICES, INC.
June 2, 2004 - October 3, 2005
COREBRIDGE CAPITAL SERVICES, INC.
July 13, 2000 - June 7, 2004
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
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.
