Steven Novick is a registered investment advisor, based in Jackson, WY, with 34 years of industry experience.
Location
Jackson, WY
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Regulatory History (3)
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Customer Dispute
January 2020Award / Judgment
Employment Separation After Allegations
October 2006Customer Dispute
May 2002Denied
Other Business Activities
Steven is the owner of Novick & Company Financial Group LLC, a registered investment advisor, since 2009. He dedicates about a quarter of his time providing investment advice to individuals, corporations, and religious organizations.
Employment History
Current Registrations
Steward Partners Investment Advisory, LLC
February 2025 - Present · 1 yr 3 mos
Steward Partners Investment Solutions, LLCBroker
February 2025 - Present · 1 yr 3 mos
Previous Registrations
Novick & Company Financial Group, LLC
January 2018 - March 2025 · 7 yrs 2 mos
Novick & Company Financial Group, LLC
September 2009 - December 2017 · 8 yrs 3 mos
Purshe Kaplan Sterling InvestmentsBroker
September 2009 - February 2025 · 15 yrs 5 mos
LPL Financial CorporationBroker
October 2006 - September 2009 · 2 yrs 11 mos
LPL Financial Corporation
October 2006 - September 2009 · 2 yrs 11 mos
AXA Advisors, LLC
December 2002 - October 2006 · 3 yrs 10 mos
AXA Advisors, LLCBroker
December 2002 - October 2006 · 3 yrs 10 mos
Morgan Stanley
August 2000 - December 2002 · 2 yrs 4 mos
Morgan Stanley Dw INC.Broker
July 2000 - December 2002 · 2 yrs 5 mos
Painewebber IncorporatedBroker
April 1995 - August 2000 · 5 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1992 - April 1995 · 3 yrs 2 mos
State Registrations10 states
CACTDCFLNHNJNYPATXWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.