Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Thu is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Steven has been in the securities industry since November 2010. Steven has a broad range of experience and holds registrations in multiple states. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Steven worked for UNIONBANC INVESTMENT SERVICES, LLC and J.P. MORGAN SECURITIES LLC. Steven is committed to providing personalized investment advice to help clients reach their financial goals.
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
02/15/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN DIEGO CA)
CA
07/10/2017 - 09/25/2019
UNIONBANC INVESTMENT SERVICES, LLC (EL CAJON CA)
CA
10/01/2012 - 07/12/2017
J.P. MORGAN SECURITIES LLC (LAKESIDE CA)
CA
11/06/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (EL CAJON CA)
BOTH
Issued 3/30/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/16/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/7/2013
Series 7 - General Securities Representative Examination
BC
Issued 11/5/2010
Series 6 - Investment Company Products/Variable Contracts 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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