Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Tufts is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Steven has been in the securities industry since September 1995. Steven has a Series 7, Series 63, and Series 65 license and is registered in 29 states. Steven is affiliated with the firm’s Batavia, NY office and has been affiliated with Merrill Lynch, Pierce, Fenner & Smith Inc. since October 2008. Steven previously worked at CITIGROUP GLOBAL MARKETS INC. from September 1995 to November 2008. Steven provides a range of financial services including portfolio management, investment advice, and financial planning.
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
11/12/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BATAVIA NY)
NY
09/06/1995 - 11/06/2008
CITIGROUP GLOBAL MARKETS INC. (BATAVIA NY)
IA
Issued 10/02/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/1995
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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