Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Lambert Tholen is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Steven has been in the financial industry since 1989, and has a broad range of experience in the industry. Steven holds the Series 63, 65, and 66 licenses, and has held licenses with various firms over the years. Steven has held positions at Cowen and Company, Ramius Securities LLC, Levco Securities, Inc., and Gordian Investments, LLC. Steven has a diverse client base including, insurance companies, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth.
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
GA
06/22/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALPHARETTA GA)
CA
05/13/2016 - 11/30/2016
GORDIAN INVESTMENTS, LLC (SAN FRANCISCO CA)
NY
02/02/2010 - 03/11/2013
COWEN AND COMPANY (NEW YORK NY)
NY
07/23/2008 - 12/31/2009
RAMIUS SECURITIES LLC (NEW YORK NY)
NY
01/06/1999 - 11/28/2006
LEVCO SECURITIES, INC. (NEW YORK NY)
NY
10/25/1989 - 10/15/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 07/27/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/15/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 10/21/1989
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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