Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven James Kang is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in New York, New York. Steven has been in the securities industry since December 1995. Steven has passed the Series 7, Series 63, and Series 66 exams. Steven was previously registered with Auerbach Grayson & Company LLC, BNP Paribas Securities Corp., Nomura Securities International, Inc., Daiwa Securities America Inc., Good Morning Securities USA Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Steven has a total of 7 approved SRO registrations, 1 approved FINRA registration, 2 approved state registrations, and 1 approved IA state registration. Steven has experience with individuals, high-net-worth individuals, corporations or other businesses, investment companies, insurance companies, charitable organizations, pension and profit-sharing plans, banking or thrift institutions, and state or municipal government entities. Steven's current firm, Merrill Lynch, Pierce, Fenner & Smith Inc. has approximately $10 billion - $50 billion in assets under management and serves 16965 clients.
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
02/26/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
11/02/2017 - 09/13/2019
AUERBACH GRAYSON & COMPANY LLC (NEW YORK NY)
NY
09/09/2015 - 07/06/2017
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
10/17/2005 - 04/30/2015
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
09/06/2005 - 10/05/2005
DAIWA SECURITIES AMERICA INC. (NEW YORK NY)
NY
09/01/2000 - 08/19/2005
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
11/07/1994 - 08/31/2000
GOOD MORNING SECURITIES USA INC. (NEW YORK NY)
NY
09/07/1994 - 09/21/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 02/25/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/1994
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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