Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Coleman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Steven has been working in the financial services industry since December 18, 2000. Steven is registered with FINRA as a General Securities Representative (Series 7), and has passed the Securities Industry Essentials Examination (SIE). Steven is also a registered Investment Advisor Representative in the state of Illinois and has passed the Uniform Combined State Law Examination (Series 66). In addition to Steven's current role at Merrill Lynch, Pierce, Fenner & Smith Inc., Steven has previously worked at UBS Financial Services Inc., Oppenheimer & Co. Inc., and CIBC World Markets Corp. Steven is also a member of the Westbury of Kildeer Homeowners Association.
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
IL
10/17/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
11/14/2003 - 10/20/2014
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
NY
01/03/2003 - 11/17/2003
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
02/05/2001 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BOTH
Issued 03/15/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2001
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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