Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Soja is a financial advisor with over 28 years of experience in the industry. Steven is registered with J.p. Morgan Securities LLC and J.p. Morgan Private Wealth Advisors LLC and holds licenses in multiple states. Steven has previously worked with several financial institutions including Credit Suisse Securities (USA) LLC, First Republic Securities Company, LLC, and Wells Fargo Investments, LLC. Steven holds the Series 3, 7, and 63 licenses as well as the Series 65 license. Steven specializes in providing financial advice to individuals, families, and businesses.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
11/20/2023 - Present
J.p. Morgan Securities LLC (San Francisco CA)
CA
12/07/2015 - 09/29/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (San Francisco CA)
CA
06/22/2006 - 12/21/2015
CREDIT SUISSE SECURITIES (USA) LLC (SAN FRANCISCO CA)
CA
11/14/2003 - 06/22/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
CA
05/02/2001 - 12/02/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
10/06/1998 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
08/28/1995 - 10/22/1998
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
12/19/1994 - 08/17/1995
STERLING SECURITIES, INC. (MANHASSET NY)
IA
Issued 01/25/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/1995
Series 3 - National Commodity Futures Examination
BC
Issued 12/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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