Steven Balaban is a registered investment advisor at Hilltop Securities INC., based in Oklahoma City, OK, with 42 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments. Their firm serves 2,241 clients with $2.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The Horizon Program fee is a negotiated annual flat fee, not to exceed 1.75%, billed quarterly in advance. This fee covers investment advice and reporting. The fee is debited from a separate account the client has with Hilltop Securities, not directly from the Horizon account. The value of alternative investments is based on information provided by the product sponsors and administrators, which may be delayed and not current. This fee is in addition to the investment management fees and other expenses charged by the Alternative Investment Funds and Structured Products.
Location
4811 Gaillardia Parkway, Suite 105, Oklahoma City, OK, 73142
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Steven is a board member at MADCO-Metro Area Development Corporation, reviewing and voting on loan applications, dedicating minimal time. He is also a notary for the State of Oklahoma, notarizing documents on an as-needed basis without compensation.
Employment History
Current Registrations
Hilltop Securities INC.Broker
Hilltop Securities INC.
Previous Registrations
Wfg Investments, INC.Broker
Wfg Advisors, LP
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
E. F. Hutton & Company INCBroker
State Registrations16 states
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