Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steve? Claim Your ProfileSteve Edward Kwong is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Steve has been in the industry since July 16, 2001. Steve has passed the Series 66, Series 7 and SIE exams. Steve is registered in 22 states for both investment advising and brokerage services, and is currently registered in California and Texas for investment advising services. Steve has previously worked at Credit Suisse Securities (USA) LLC, UST Securities Corp, and Neuberger Berman, LLC. Steve is also on the advisory board of the American Cancer Society.
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
CA
10/24/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWPORT BEACH CA)
CA
11/02/2006 - 11/18/2008
CREDIT SUISSE SECURITIES (USA) LLC (IRVINE CA)
CA
05/27/2005 - 08/04/2006
UST SECURITIES CORP. (LOS ANGELES CA)
NY
03/15/2001 - 04/22/2005
NEUBERGER BERMAN, LLC (NEW YORK NY)
BOTH
Issued 4/11/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/14/2001
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
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