Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Gillan is an active Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. Steven has been in the industry since 1996. Steven has worked for five other firms over the years including BANC OF AMERICA INVESTMENT SERVICES, INC., CUSO FINANCIAL SERVICES, L.P., J.B. OXFORD & COMPANY, PAINEWEBBER INCORPORATED, and OLDE DISCOUNT CORPORATION. Steven has earned a total of seven licenses and has passed nine exams, including the General Securities Representative Examination, Limited Representative-Equity Trader Exam, and Municipal Securities Representative Examination. Steven is registered in 26 states and offers a variety of financial services including portfolio management for individuals and businesses, selection of other advisors, and pension consulting.
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
AZ
06/15/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
AZ
04/29/2005 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SCOTTSDALE AZ)
CA
06/20/2003 - 04/29/2005
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
CA
11/12/1997 - 11/27/2002
J.B. OXFORD & COMPANY (SHERMAN OAKS CA)
NJ
03/20/1997 - 10/14/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MI
02/16/1996 - 03/19/1997
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 07/06/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/28/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/23/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/21/1996
Series 7 - General Securities Representative Examination
BC
Issued 02/15/1996
Series 52 - Municipal 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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