Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Mah is a financial professional with over 18 years of experience in the industry. Currently, Steven Mah is registered with TD Securities (usa) LLC and holds Series 7, 79TO, 86, 87 and SIE licenses. Previously, Steven Mah was associated with Cowen and Company, Piper Sandler & Co., Dresdner Kleinwort Securities LLC, and Granite Financial Group, LLC. Steven Mah is registered in New York and Connecticut.
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.
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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2
NY
03/08/2024 - Present
TD Securities (usa) LLC (New York NY)
NY
02/04/2022 - 04/11/2024
COWEN AND COMPANY (NEW YORK NY)
CT
04/30/2007 - 11/09/2021
PIPER SANDLER & CO. (GREENWICH CT)
NY
07/24/2006 - 12/18/2006
DRESDNER KLEINWORT SECURITIES LLC (NEW YORK NY)
CA
05/17/2005 - 08/02/2006
GRANITE FINANCIAL GROUP, LLC (SAN DIEGO CA)
BC
Issued 05/20/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/30/2020
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 05/30/2020
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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