Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Noce is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Steven is active in both broker-dealer and investment advisor capacities. Steven has been in the securities industry since December 30, 2000. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Steven has worked at VALIC Financial Advisors, INC., T. ROWE PRICE INVESTMENT SERVICES, INC., and DIVERSIFIED INVESTORS SECURITIES CORP. Steven holds Series 6, 7, 63, and 66 licenses and the Securities Industry Essentials Examination.
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
NY
12/12/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WHITE PLAINS NY)
NJ
01/07/2015 - 12/27/2018
VALIC FINANCIAL ADVISORS, INC. (BERKELEY HEIGHTS NJ)
MD
05/16/2007 - 01/05/2015
T. ROWE PRICE INVESTMENT SERVICES, INC. (OWINGS MILLS MD)
NY
12/18/2000 - 05/04/2007
DIVERSIFIED INVESTORS SECURITIES CORP. (PURCHASE NY)
BOTH
Issued 01/03/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/27/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2008
Series 7 - General Securities Representative Examination
BC
Issued 12/15/2000
Series 6 - Investment Company Products/Variable Contracts 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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