Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Soraparu is a financial professional with over two decades of experience in the industry, having begun their career in 2000. Steven is currently registered with Stifel, Nicolaus & Company, Inc. as a Registered Representative. Steven has experience with several firms, including Waller Capital Securities LLC and Legg Mason Wood Walker, Incorporated. Their expertise has been cultivated through multiple licensing exams, including Series 7, Series 24, Series 63, and Series 79TO.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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
IL
04/15/2019 - Present
Stifel, Nicolaus & Company, Inc. (CHICAGO IL)
NY
09/14/2007 - 04/12/2019
WALLER CAPITAL SECURITIES LLC (NEW YORK NY)
MD
12/01/2005 - 03/05/2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BALTIMORE MD)
MD
09/12/2000 - 12/01/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BC
Issued 03/02/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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