Steve SarwonoCRD Number: 5496629
Current Firm: Planmember Securities Corporation
Steve Sarwono (CRD# 5496629) is an Investment Advisor Representative working at Planmember Securities Corporation in Carpinteria, CA and has over 6 years of experience in the finance industry.
Greyfox Investors LLC
Independent Financial Partners
Brightpath Wealth Planning, LLC
|Northwest Advisor Group LLC||Tacoma, WA||Aug 2013 - Current||3|
|Planmember Securities Corporation||Carpinteria, CA||Jan 2013 - Current||3|
|Pursuit Of Happiness LLC||Tacoma, WA||Jan 2012 - Current||4|
|Steve Sarwono-self Employed||University Place, WA||Jul 2010 - Current||6|
|Northwest Estate And Financial Services||Tacoma, WA||Jun 2013 - Aug 2015||2|
|H&r Block||Lakewood, WA||Jan 2011 - Feb 2013||2|
|Symetra Investment Services, Inc.||Bellevue, WA||Feb 2011 - Jan 2013||1|
|Waddell & Reed, Inc.||Pierce, WA||Apr 2010 - Feb 2011||< 1|
|H&r Block||Lakewood, WA||Nov 2009 - May 2010||< 1|
|Ctl Management||University Place, WA||Jun 2009 - May 2010||< 1|
|Scottrade||Clackamas, OR||Mar 2008 - Jun 2009||1|
|Unemployed||Beaverton, OR||Jun 2007 - Mar 2008||< 1|
|Capstone Turbine Inc.||Chatsworth, CA||Sep 2004 - Jun 2007||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jun 2010|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management2,638MILLIONS
Total Number of Accounts49,000ACCOUNTS
Average Account Value$53,828
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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, VT, WA, WI, WV
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