Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Walley is a financial professional with over 24 years of experience in the financial services industry. Steven is currently registered with Wall Street Access in Park Ridge, NJ. Steven has previously been associated with VANDHAM SECURITIES CORP., SARATOGA CAPITAL MARKETS, WJB CAPITAL GROUP, INC., ECHOTRADE LLC, RBC PROFESSIONAL TRADER GROUP LLC, HSBC SECURITIES (USA) INC., SCHWAB CAPITAL MARKETS L.P., BEAR, STEARNS & CO. INC., and PRUDENTIAL SECURITIES INCORPORATED. Steven holds several securities licenses, including Series 7, Series 24, Series 55, Series 57TO, and SIE, along with a Series 63 license. Steven's expertise includes equities, options, and fixed income.
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.
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.
1
2
NJ
07/02/2018 - Present
Wall Street Access (Park Ridge NJ)
NJ
01/15/2014 - 07/02/2018
VANDHAM SECURITIES CORP. (Park Ridge NJ)
NY
02/14/2012 - 07/20/2012
SARATOGA CAPITAL MARKETS (NEW YORK NY)
NY
11/01/2010 - 01/11/2012
WJB CAPITAL GROUP, INC. (NEW YORK NY)
AZ
12/18/2009 - 11/17/2010
ECHOTRADE LLC (PHOENIX AZ)
AZ
10/16/2009 - 11/05/2009
ECHOTRADE LLC (PHOENIX AZ)
NY
01/02/2009 - 08/28/2009
RBC PROFESSIONAL TRADER GROUP LLC (NEW YORK NY)
NY
11/09/2004 - 03/16/2007
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
CT
06/30/2003 - 11/11/2004
SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)
NY
04/10/1996 - 06/06/2003
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
10/07/1994 - 03/27/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 11/12/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/05/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/10/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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