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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Warch is a financial advisor with over 38 years of experience in the industry. Steven Warch is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Florida and Texas. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Steven Warch was employed at UBS Financial Services Inc. Steven Warch has passed the Series 63, Series 9, Series 10, Series 8, Series 31, Series 7 and SIE exams. Steven Warch also holds licenses in 38 states. Steven Warch has experience working with high-net-worth individuals, corporations, charitable organizations, pension and profit sharing plans, and state or municipal government entities.
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
FL
07/18/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JUPITER FL)
FL
07/16/1993 - 07/23/2008
UBS FINANCIAL SERVICES INC. (PALM BEACH GARDENS FL)
NJ
02/21/1985 - 08/02/1993
J. B. HANAUER & CO. (PARSIPPANY NJ)
BC
Issued 03/21/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/06/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/16/1985
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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