Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Thoms is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., located in Ann Arbor, MI. Steven has been a registered representative since 1987. Steven is registered to provide securities and investment advisory services in several states. In addition to Steven's work as a financial advisor, Steven also referees soccer games for the Michigan High School Athletic Association. Steven is also registered with Edward Jones and Equico Securities, 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.
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
MI
10/03/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ANN ARBOR MI)
MI
08/23/2019 - 03/30/2022
EDWARD JONES (ANN ARBOR MI)
NA
03/13/1990 - 05/08/1990
MUTUAL SERVICE CORPORATION
NA
07/19/1988 - 03/08/1990
EQUICO SECURITIES, INC.
NA
07/19/1988 - 03/08/1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
NA
04/29/1987 - 07/13/1987
LA SALLE ST. SECURITIES, INC.
BOTH
Issued 09/14/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/26/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2019
Series 7TO - General Securities Representative Examination
BC
Issued 07/30/2019
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
BC
Issued 06/23/1986
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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