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Steven Lance Carmen

NC Securities, LLC

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About Steven Lance Carmen

Steven Carmen has been in the financial services industry since January 5, 2014. Steven is currently registered with NC Securities, LLC in Maryland. Steven has held previous registrations with LCG Capital Advisors, LLC, PricewaterhouseCoopers Corporate Finance LLC, Capstone Capital Markets LLC, Morgan Stanley, BNP Paribas Securities Corp., GCA Savvian Advisors, LLC and NC Securities, LLC. Steven holds the Series 63, Series 66, Series 7, Series 79, and SIE licenses.

Firm Information

Steven Carmen is currently registered with NC Securities, LLC. NC Securities, LLC is a Limited Liability Company formed in Maryland on September 28, 2005. The firm is registered with the SEC and in Maryland.

Not reported

Assets Under Management

Not reported

Total Clients

11

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Steven Carmen’s Registration & Firm History

MD

01/24/2023 - Present

NC Securities, LLC (EASTON MD)

FL

11/24/2020 - 11/09/2022

LCG CAPITAL ADVISORS, LLC (TAMPA FL)

IL

04/25/2018 - 02/18/2019

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC (CHICAGO IL)

MA

02/25/2015 - 03/14/2016

CAPSTONE CAPITAL MARKETS LLC (BOSTON MA)

NY

06/25/2012 - 08/28/2013

MORGAN STANLEY (NEW YORK NY)

NY

09/15/2010 - 06/19/2012

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

IL

01/14/2009 - 08/06/2010

GCA SAVVIAN ADVISORS, LLC (CHICAGO IL)

MD

04/23/2008 - 01/09/2009

NC SECURITIES, LLC (EASTON MD)

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Licenses & Designations

BC

Issued 05/03/2018

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 08/15/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/2018

Series 7 - General Securities Representative Examination

BC

Issued 04/25/2018

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Lance Carmen.
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