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Steven Simon

Esi Financial Advisors
44 Years of Experience
Beverly Hills, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Steven Simon is a ChFC-designated registered investment advisor at Esi Financial Advisors, based in Beverly Hills, CA, with 44 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 12,379 clients with $2.8B in assets under management.

Esi Financial Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
536 advisors
Number of Clients
12,379 clients
Average Client Portfolio
$224K average
Assets Under Management
$2.8B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $2.5M0.75%
$2.5M - $5.0M0.60%
$5.0M - $10.0M0.50%
$10M+0.35%

Rates reflect the primary schedule used in programs like American Funds and Schwab Retirement Advisor Services. Other programs have different maximum fees (AssetMark up to 1.50%, Saratoga up to 2.00%, SEI up to 1.75% plus 0.05% administrative fee). Actual fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

8383 Wilshire Blvd, Suite 450, Beverly Hills, CA, 90211

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2013
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Steven is an insurance agent for several companies, selling life insurance since 1997. This appears to be during traditional business hours.

Employment History
Current Registrations
Esi Financial Advisors
November 2000 - Present · 25 yrs 11 mos
Equity Services, INC.Broker
February 1995 - Present · 31 yrs 8 mos
Previous Registrations
Sun Investment Services CompanyBroker
March 1992 - February 1995 · 2 yrs 11 mos
Mony Securities CORP.Broker
October 1989 - April 1992 · 2 yrs 6 mos
The Mutual Life Insurance Company of New YorkBroker
October 1989 - October 1990 · 1 yr
Aetna Financial Services, INC.Broker
December 1984 - October 1985 · 10 mos
Aetna Life Insurance and Annuity CompanyBroker
June 1983 - October 1989 · 6 yrs 4 mos
Cg Equity Sales CompanyBroker
March 1981 - June 1982 · 1 yr 3 mos
State Registrations40 states
ARAZCACOCTDCDEFLGAHIIAIDILINLAMDMEMIMOMTNCNHNJNMNVNYOKORPARISCSDTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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