Unclaimed
Steven Runnion is a financial advisor with RBC Capital Markets, LLC. Steven has been in the financial services industry since January 1996. Steven is registered with the state of North Carolina and Texas and has a Series 7, 9, 10, 31, 63, and 65 licenses. Steven has experience working with high-net-worth individuals, corporations, and other businesses, as well as with pension and profit-sharing plans. Steven also provides financial planning services and specializes in portfolio management for businesses and individuals. Steven was previously employed with Wells Fargo Clearing Services, LLC, Legg Mason Wood Walker, Incorporated, and Dean Witter Reynolds Inc.
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
NC
02/13/2019 - Present
RBC Capital Markets, LLC (CHARLOTTE NC)
NC
02/03/2006 - 02/19/2019
WELLS FARGO CLEARING SERVICES, LLC (DAVIDSON NC)
MD
11/06/2000 - 02/07/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
01/18/1996 - 11/06/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 02/08/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/09/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 01/17/1996
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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