Steven StauffCRD Number: 4468047
Current Firm: City National Securities, Inc.
Steven Stauff (CRD# 4468047) is an Investment Advisor Representative working at City National Securities, Inc. in Irvine, CA and has over 15 years of experience in the finance industry. Steven Stauff has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
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|City National Bank||Irvine, CA||Mar 2016 - Current||2|
|Wells Fargo Advisors LLC||Irvine, CA||Oct 2010 - Mar 2016||5|
|Morgan Stanley Smith Barney||Los Angeles, CA||Jun 2009 - Oct 2010||1|
|Morgan Stanley & Company, Incorporated||Los Angeles, CA||Apr 2007 - Oct 2010||3|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 2002|
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:
- Customer Dispute
- Judgments / Liens
Total Assets Under Management1,005MILLIONS
Total Number of Accounts1,493ACCOUNTS
Average Account Value$673,452
- A percentage of assets under your management
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
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