Steven Traum, financial advisor Bethpage NY
93 score

Steven Traum

CRD Number: 1813169
Current Firm: Invest Financial Corporation

Steven Traum (CRD# 1813169) is an Investment Advisor Representative working at Invest Financial Corporation in Bethpage, NY and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
Bethpage Fcu Bethpage, NY Sep 2014 - Current 2
Invest Financial Corp. Bethpage, NY Sep 2014 - Current 2
Cadaret, Grant & Company, Inc. Jericho, NY Nov 2013 - Sep 2014 < 1
American Investment Planners Jericho, NY Nov 2013 - Sep 2014 < 1
Unemployed Bellmore, NY Dec 2012 - Oct 2013 < 1
Dealerweb Inc. Garden City, NY Oct 2011 - Dec 2012 1
Rafferty Capital Markets, LLC Garden City, NY Jun 2010 - Oct 2011 1
Williams Capital Ny, NY Jun 2009 - May 2010 < 1
Unemployed Bellmore, NY Aug 2008 - May 2009 < 1
Tiaa-cref Ny, NY Feb 1983 - Aug 2008 25
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Apr 2014
S63 Uniform Securities State Law Examination Jan 2010
Contact Info for Steven I. Traum
Phone Number: (813) 880-5300
Registered State(s):
  • NJ
  • NC
By the Numbers
  • Total Assets Under Management
    4,432
    MILLIONS
  • Total Number of Accounts
    31,513
    ACCOUNTS
  • Average Account Value
    $140,649
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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