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Steven Lambert Tholen
STEVEN LAMBERT THOLEN, Steven Tholen
CRD#: 1978990
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10000 AVALON BLVD
ALPHARETTA, GA 30009
Registration History
199019952000200520102015202020252 FIRMS2017 - Present (7 years)BGORDIAN INVESTMENTS, LLC (CRD# 158611)2016 - 2016 (<1 year)BCOWEN AND COMPANY (CRD# 7616)2010 - 2013 (3 years)BRAMIUS SECURITIES LLC (CRD# 41076)2008 - 2009 (1 year)BLEVCO SECURITIES, INC. (CRD# 41585)1999 - 2006 (7 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1989 - 1996 (7 years)
License(s)

State Registrations

B
Alabama 6/21/2018

B
Minnesota 11/10/2020

B
Arizona 1/30/2018

B
Missouri 7/28/2022

B
California 6/22/2018

B
New Jersey 4/20/2021

B
Colorado 3/23/2020

B
New York 8/29/2017

B
Delaware 1/7/2025

B
North Carolina 8/29/2017

B
Florida 10/30/2017

B
Ohio 1/18/2023

B
Georgia 7/28/2017

B
South Carolina 8/30/2017

IA
Georgia 7/28/2017

B
Tennessee 6/25/2018

B
Hawaii 8/22/2023

IA
Texas 6/22/2018

B
Idaho 3/15/2023

B
Texas 6/27/2018

B
Illinois 6/26/2018

B
Utah 2/12/2024

B
Indiana 9/10/2024

B
Virginia 2/15/2024

B
Kansas 1/18/2022

B
Washington 12/21/2023

B
Massachusetts 8/14/2019

B
Wisconsin 7/1/2021

B
Michigan 11/19/2020

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 7/28/2017

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 7/13/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
B
05/13/2016 - 11/30/2016 GORDIAN INVESTMENTS, LLC (CRD#:158611) SAN FRANCISCO, CA
B
02/02/2010 - 03/11/2013 COWEN AND COMPANY (CRD#:7616) NEW YORK, NY
B
07/23/2008 - 12/31/2009 RAMIUS SECURITIES LLC (CRD#:41076) NEW YORK, NY
B
01/06/1999 - 11/28/2006 LEVCO SECURITIES, INC. (CRD#:41585) NEW YORK, NY
B
10/25/1989 - 10/15/1996 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.