Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Gorman has been in the industry since January 8, 1985. Steven is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Florida, Indiana, South Carolina, and Texas. Steven is a Series 3, 7, 8, 9, 10, 63, and 65 licensed professional. In addition to these securities licenses, Steven has passed the Securities Industry Essentials (SIE) Exam. Steven has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since October 1984 and Steven also had a previous role with Bank of America, N.A. Steven is licensed in 41 states, is registered with FINRA and is a registered Investment Advisor. Steven Gorman is a specialist in providing advice to a diverse clientele including: high-net-worth individuals, corporations, 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
IN
04/03/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (EVANSVILLE IN)
IA
Issued 12/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/04/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/30/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1990
Series 3 - National Commodity Futures Examination
BC
Issued 12/15/1984
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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