Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven L. Rodriguez is a financial advisor with over 30 years of experience in the financial services industry. Currently, Steven is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is licensed to provide investment advice in California and Texas. Prior to joining Merrill Lynch, Steven worked at BANC OF AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., PRUDENTIAL SECURITIES INCORPORATED, PAINEWEBBER INCORPORATED, and LEHMAN BROTHERS INC.. Steven holds multiple licenses, including Series 3, 7, and 63, and specializes in providing financial planning, portfolio management, and investment advisory services.
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
CA
10/08/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (MARINA DEL REY CA)
NY
10/12/2001 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
09/25/1998 - 10/19/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
01/07/1994 - 09/24/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/31/1993 - 01/14/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
12/02/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/23/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/1991
Series 3 - National Commodity Futures Examination
BC
Issued 09/23/1991
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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