Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Hocking is a financial advisor with over 20 years of experience in the industry. Steven has a strong track record of providing investment advice to individuals, families, and businesses. Steven currently works for Raymond James & Associates, Inc., and prior to that worked at UBS Financial Services Inc. and Merrill Lynch. Steven has a wide range of experience in various investment areas and specializes in retirement planning, college savings, and estate planning. Steven is committed to providing clients with personalized financial advice and helping them achieve their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Please see note in schedule d - miscellaneous
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
CA
06/21/2024 - Present
Raymond James & Associates, Inc. (Irvine CA)
CA
01/23/2009 - 01/18/2024
UBS FINANCIAL SERVICES INC. (IRVINE CA)
CA
03/25/2004 - 01/27/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SANTA ANA CA)
CA
03/26/2002 - 03/03/2004
FARMERS FINANCIAL SOLUTIONS, LLC (WESTLAKE VILLAGE CA)
BOTH
Issued 06/09/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/08/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2004
Series 7 - General Securities Representative Examination
BC
Issued 03/25/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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