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Steven Michael Cellen

Investment Adviser Representative at ESI FINANCIAL ADVISORS

Ronkonkoma, NYCRD #4263412Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
26 yrs
States Registered
11 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Steven Michael Cellen has worked in the securities industry since 2000. They are registered to provide investment advisory services in 11 U.S. states.

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 11 states
ArizonaColoradoFloridaNew YorkNorth CarolinaPennsylvaniaSouth CarolinaVermontVirginiaWashingtonWisconsin
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 11/22/2000
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 11/18/2000
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 11/14/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$1 to $1,000,0001.00%
$1,000,001 to $2,500,0000.75%
$2,500,001 to $4,999,9990.60%
$5,000,000 to $10,000,0000.50%
$10,000,001 or more0.35%
Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

ESI Financial Advisors Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ESI FINANCIAL ADVISORSCurrent
6/22/2021Ronkonkoma, NY
MML INVESTORS SERVICES, LLC
5/5/20099/6/2012Holbrook, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
11/20/20005/6/2009Holbrook, NY
ROBERT W. BAIRD & CO. INCORPORATED
11/20/20001/1/2002Milwaukee, WI

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Steven Michael Cellen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Steven Michael Cellen - Financial Advisor in Ronkonkoma, NY | AdvisorFinder