Individual Firm
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Steven Mark Soriano
CRD#: 6247443
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
PASADENA, CA 91101
0
Disclosures
6
Years of Experience
View By:
State Registrations
B
Alabama 11/30/2021
B
Minnesota 6/3/2024
B
Arizona 11/30/2021
B
Nevada 11/30/2021
B
California 11/29/2021
B
New Hampshire 11/30/2021
IA
California 11/29/2021
B
New York 11/30/2021
B
Colorado 11/30/2021
B
North Carolina 11/30/2021
B
Connecticut 11/30/2021
B
Ohio 11/15/2024
B
District of Columbia 12/1/2021
B
Oregon 11/30/2021
B
Florida 11/30/2021
B
South Carolina 11/30/2021
B
Georgia 11/29/2021
B
Tennessee 11/30/2021
B
Hawaii 11/30/2021
B
Texas 11/30/2021
B
Idaho 11/30/2021
IA
Texas 12/1/2021
B
Indiana 11/30/2021
B
Utah 3/1/2023
B
Kansas 11/30/2021
B
Virginia 11/30/2021
B
Michigan 11/30/2021
B
Washington 11/30/2021
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 11/29/2021
B
Registered with this firm since 11/29/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/06/2017 - 03/18/2020 | Glendale, CA | |
B | 01/11/2017 - 03/18/2020 | Glendale, CA | |
B | 10/01/2016 - 01/10/2017 | WESTLAKE VILLAGE, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.