Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Douglas Mason is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. He has been in the industry since 2003 and has held positions at both Bank of America Investment Services, Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. Steven holds a Series 6, 7, 9, 10, 26, 63, and 66 licenses. Steven is registered with the state of Tennessee and provides services to individuals, high-net-worth individuals, corporations, insurance companies, charitable organizations, and pension and profit sharing plans.
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
TN
11/30/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NASHVILLE TN)
TX
04/11/2003 - 11/30/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (IRVING TX)
BOTH
Issued 11/28/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/14/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/22/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/02/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2016
Series 7 - General Securities Representative Examination
BC
Issued 04/10/2003
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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