Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Alan Herzog is a registered investment advisor representative with RBC Capital Markets, LLC. Steven Herzog has been in the industry since October 9, 1991 and holds a Series 63, Series 65, Series 7, and SIE license. Steven Herzog has also been previously registered with DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES, INC., and OPPENHEIMER & CO., INC. Steven Herzog has worked at RBC Capital Markets, LLC since March 2008. Steven Herzog is registered in 31 states including Alabama, Arizona, California, Colorado, Delaware, Florida, Georgia, Illinois, Kansas, Louisiana, Maryland, Massachusetts, Mississippi, Missouri, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, West Virginia, and Wyoming. Steven Herzog is also a partner in Mash family partnership, a family limited partnership with only direct family members.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
02/27/2007 - Present
RBC Capital Markets, LLC (HOUSTON TX)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
12/13/1991 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NY
10/01/1991 - 12/03/1991
OPPENHEIMER & CO., INC. (NEW YORK NY)
IA
Issued 01/16/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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