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Steven Lambert Tholen

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Alpharetta, GA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-06-22
GA RA APPROVED 2017-07-28
  • TX RA
    APPROVED_RES
    Since 2018-06-22
  • GA RA
    APPROVED
    Since 2017-07-28

Branch Locations

10000 Avalon Blvd, Alpharetta, GA 30009 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Soundview Consulting Llc Richmond Hill GA 09/2015 06/2017
Gordian Investments Llc Sanfranciso CA 04/2016 11/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Alpharetta GA 06/2017 Present
Bank Of America, N.A. Alpharetta GA 09/2017 Present
  • 09/2015 → 06/2017
    Soundview Consulting Llc
    Richmond Hill, GA
  • 04/2016 → 11/2016
    Gordian Investments Llc
    Sanfranciso, CA
  • 06/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Alpharetta, GA
  • 09/2017 → Present
    Bank Of America, N.A.
    Alpharetta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-27
S65 Uniform Investment Adviser Law Examination 1991-11-15
S63 Uniform Securities Agent State Law Examination 1989-11-16
  • S66 Uniform Combined State Law Examination
    2017-07-27
  • S65 Uniform Investment Adviser Law Examination
    1991-11-15
  • S63 Uniform Securities Agent State Law Examination
    1989-11-16
Other Names
  • Steven Lambert Tholen
  • Steven Tholen

View on SEC IAPD

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CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
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PAUL MATTHEW DAMM
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PAUL FRANCIS SHAUGHNESSY
BRENDAN HUGH KEELAN
DANIEL ROSS MOSKOWITZ
RHEANNON LEA BODDIE
VENZON VICENCIO AROMIN
WILLIAM CLAY TUCKER

Other Offices

MRP CAPITAL INVESTMENTS, LLC · ALPHARETTA, GA
NEW EDGE WEALTH · Alpharetta, GA
COMMONWEALTH FINANCIAL NETWORK · Alpharetta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
BROOKSTONE WEALTH ADVISORS, LLC · Alphretta, GA
SEQUENT PLANNING, LLC · ALPHARETTA, GA
LADENBURG THALMANN ASSET MANAGEMENT INC · Norcross, GA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · ALPHARETTA, GA

More in Alpharetta, GA

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