Steven Earley, financial advisor Tustin CA
96 score

Steven Earley

CRD Number: 1409221
Current Firm: Ameriprise Financial Services, Inc.

Steven Earley (CRD# 1409221) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Tustin, CA and has over 21 years of experience in the finance industry. Steven Earley 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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Professional Designations
Company Name Location Dates Years
Ameriprise Financial Services, Inc. Irvine, CA Jul 2008 - Current 8
Unemployed Orange, CA Mar 2008 - Jul 2008 < 1
Northwestern Mutual Life Insurance Company Milwaukee, WI Jun 2002 - Mar 2008 5
Northwestern Mutual Investment Services LLC Newport Beach, CA Jun 2002 - Mar 2008 5
Tiaa-cref Newport Beach, CA Mar 2007 - Feb 2008 < 1
Northwestern Mutual Investment Services, LLC Newport Beach, CA Feb 2006 - Feb 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1995
S65 NASAA Investment Advisors Law Examination Apr 2003
Contact Info for Steven R. Earley
Phone Number: 612-671-3131
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    178,060
    MILLIONS
  • Total Number of Accounts
    1,085,445
    ACCOUNTS
  • Average Account Value
    $164,044
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription 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)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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