Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Lawrence Walker is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in Yardley, Pennsylvania. Steven has been in the financial services industry since 1998 and has experience in both brokerage and investment advisory services. Steven has a Series 7, Series 31, Series 63, and Series 65 license, as well as the SIE exam. Steven has been with Merrill Lynch since 2008. Prior to that, Steven was a registered representative and investment advisor with UBS Financial Services Inc. Steven has a significant number of registrations in various states and offers investment advisory services to a broad range of clients including individuals, corporations, businesses, pension and profit-sharing plans, and charitable organizations.
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
PA
03/04/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (YARDLEY PA)
NJ
11/20/1998 - 02/27/2008
UBS FINANCIAL SERVICES INC. (PRINCETON NJ)
IA
Issued 11/24/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 11/09/1998
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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