Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Truong is a financial advisor with over 20 years of experience in the industry. Steven is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, where Steven has been working since 2012. Prior to joining Merrill Lynch, Steven worked at Barclays Capital Inc., Lehman Brothers Inc., Piper Jaffray & Co. and Louis Capital Markets, LP. Steven has a wide range of experience in the financial services industry, including investment banking, research, and portfolio management. Steven holds Series 7, 86, 87 and 63 licenses, as well as the SIE exam and the Uniform Investment Adviser Law Examination. Steven specializes in portfolio management for both individuals and businesses. Steven is registered to provide investment advice in 53 states, including Texas.
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
01/31/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
09/22/2008 - 04/27/2012
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
07/11/2007 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
11/09/2004 - 04/17/2007
PIPER JAFFRAY & CO. (NEW YORK NY)
NA
05/11/2004 - 09/13/2004
LOUIS CAPITAL MARKETS, LP (PARIS )
MN
07/11/2001 - 05/18/2004
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
CT
04/30/2001 - 06/13/2001
ABN AMRO INCORPORATED (STAMFORD CT)
NY
06/13/2000 - 04/30/2001
ING BARINGS LLC (NEW YORK NY)
IA
Issued 12/10/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/22/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/22/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/23/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 6/12/2000
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
Not sure Steven Truong is the right advisor for you? Invested Better is here to help.
Copyright 2024 Invested Better
Invested Better, LLC ("Invested Better") provides a matching service whereby users are connected with third-party financial advisors ("Advisors") who are registered and licensed as financial advisors in the United States and have elected to participate in our matching platform. Information provided by users through our online questionnaire facilitates the determination of suitable Advisor matches. Invested Better receives a set cost per lead compensation from Advisors in exchange for this referral service.
Please be advised that Invested Better does not evaluate the ongoing performance of any Advisor, nor does it participate in the management of user accounts or provide advice regarding specific investments. We do not manage client funds or hold assets in custody. Our role is solely to facilitate connections between users and potentially suitable financial advisors. All investing involves inherent risks, including the potential loss of principal. There is no guarantee that working with an advisor will result in positive returns. Potential downsides include the payment of fees, which can reduce overall returns. The existence of a fiduciary duty does not preclude the potential for conflicts of interest.
Invested Better maintains a directory of all actively registered financial advisors and firms based on the public filings with FINRA and SEC. Advisors and firms may verify their identity to claim and take control to update and edit their profile information. Invested Better does not guarantee the accuracy of any information updated by advisors or firms on their profile.
