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 Merrill Lynch, Pierce, Fenner & Smith Inc. Steven has been in the financial services industry since 2001. Steven has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2012. Steven has previously been registered with Barclays Capital Inc., Lehman Brothers Inc., Piper Jaffray & Co., Louis Capital Markets, LP, and ABN AMRO Incorporated.
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 05/22/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2005
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 06/12/2000
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
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