Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Dias is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been in the industry since October 30, 2008. Steven is currently registered with the state of California and Texas. Steven has experience working at several firms including Equity Services, Inc., Capital Analysts, Incorporated, IFMG Securities, Inc., and National Planning Corporation. Steven has experience in providing investment advice to individuals and businesses, as well as to investment companies. Steven is also qualified to provide pension consulting and educational seminars.
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
CA
03/18/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
09/30/2009 - 01/06/2011
EQUITY SERVICES, INC. (SAN DIEGO CA)
CA
12/12/2006 - 12/31/2007
CAPITAL ANALYSTS, INCORPORATED (SAN DIEGO CA)
NY
12/06/2004 - 02/02/2005
IFMG SECURITIES, INC. (PURCHASE NY)
CA
11/20/2003 - 12/02/2004
NATIONAL PLANNING CORPORATION (LOS ANGELES CA)
BOTH
Issued 12/10/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2003
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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