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SM

Steven E. Mims

SAYBRUS EQUITY SERVICES
SHOREWOOD, MN
Some features on this profile are disabled
CRD#: 7235174
SM

Professional summary

Steven Edward Mims is a registered financial professional currently at SAYBRUS EQUITY SERVICES, LLC located in Shorewood, Minnesota.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2021. Steven has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Steven Edward Mims's CRS (Customer Relationship Summary).

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

Current

March 30, 2026 - Present

SAYBRUS EQUITY SERVICES, LLC

BD
CRD#: 153319
SHOREWOOD, MN
Past

June 29, 2023 - March 13, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
EUGENE, OR
Past

May 15, 2023 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EUGENE, OR
Past

April 12, 2022 - March 13, 2026

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EUGENE, OR
Past

September 24, 2021 - April 15, 2022

NYLIFE SECURITIES LLC

BD
CRD#: 5167
PORTLAND, OR

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Oregon
(3/30/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/10/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/29/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 9/24/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/19/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SE
SAYBRUS EQUITY SERVICES, LLC
SAYBRUS EQUITY SERVICES, INC | SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319 / SEC#: , 8-68521

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One American Row, Hartford, CT 06102-5056
Mailing Address
P.o. Box 5056, Hartford, CT 06102-5056
Phone number
(860) 403-3100
Established
Delaware since 10/01/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SAYBRUS HOLDINGS, LLCPARENT COMPANY
ALI, AZIZVICE PRESIDENT5030560
CASSIDY, EDWARD WILLIAM JREXEC. VP / INTERNAL DIRECTOR1606787
COSTENBADER, WALTER RUSSELLFINOP1828345
HALPERIN, JEFFREY PAULINTERNAL DIRECTOR2899327
LOWE, MOIRA CRONANPRESIDENT / CEO / INTERNAL DIRECTOR4076427
MOORE, GIDEON CLOYESCHIEF LEGAL OFFICER7011735
SADOWSKI, ADAM MARKASSISTANT VICE PRESIDENT4578505
SIINO, KATHERINE MARYAVP & CHIEF COMPLIANCE OFFICER1666402
TOMKO, CHRISTINECFO, PFO, POO6989991
VIETRI, MICHAEL JOSEPHINTERNAL DIRECTOR1068983

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.

Company Information

SAYBRUS EQUITY SERVICES, LLC

CRD#: 153319Shorewood, MN

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