Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Kelley is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Steven has been in the industry since 1993 and has a Series 7, Series 31, and Series 63 license. Steven is also a registered investment advisor and holds a Series 65 license. Steven specializes in providing portfolio management for individuals and businesses, as well as pension consulting and educational seminars. Steven is also a registered representative in Arizona, California, Colorado, Connecticut, Delaware, Florida, Illinois, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, Tennessee, Texas, Utah, and Vermont.
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
FL
01/16/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIAMI FL)
RI
09/22/1993 - 02/16/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NY
05/15/1993 - 09/07/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
02/19/1993 - 03/11/1993
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
IA
Issued 03/13/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/17/1993
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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