Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven J Roccuzzo is a financial advisor who has been in the industry since 2010. Steven is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., where he is a registered representative (RA). Steven is also a registered investment advisor in Connecticut, New Jersey, New York and Texas. Steven has previously worked at GFI SECURITIES LLC. Steven holds the Series 3, 63, 7, and 65 licenses as well as the SIE. Steven's specialties include portfolio management, securities, and commodities.
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
NY
11/24/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
09/14/2010 - 07/15/2014
GFI SECURITIES LLC (NEW YORK NY)
IA
Issued 10/29/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/12/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/2011
Series 3 - National Commodity Futures Examination
BC
Issued 09/13/2010
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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