Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Michael Horiuchi is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., specializing in portfolio management for businesses and individuals, as well as pension consulting. Stephen Michael Horiuchi has been in the securities industry since July 18, 1993, with previous experience at CITICORP INVESTMENT SERVICES. Stephen Michael Horiuchi is licensed in numerous states and has passed the Series 7, Series 31, Series 63, Series 65 and SIE exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
07/29/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
07/19/1993 - 06/28/2000
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 08/14/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 07/17/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Stephen Horiuchi is the right advisor for you? Invested Better is here to help.
