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Steven A Rosso

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Goleta, CA

Santa Barbara, CA

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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 2017-07-13
CA RA APPROVED 2016-03-23
  • TX RA
    APPROVED
    Since 2017-07-13
  • CA RA
    APPROVED
    Since 2016-03-23

Branch Locations

5892 Calle Real, Goleta, CA 93117 • United States

1096 Coast Village Rd, Santa Barbara, CA 93108 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Barbara CA 11/2015 Present
Bank Of America, N.A. Santa Barbara CA 05/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-22
  • S66 Uniform Combined State Law Examination
    2016-03-22

View on SEC IAPD

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PLATFORM WEALTH ADVISORS · Goleta, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Goleta, CA
J.P. MORGAN SECURITIES LLC · GOLETA, CA
EDWARD JONES · GOLETA, CA
WALKABOUT VENTURES LLC · SANTA BARBARA, CA
FARMERS ASSET MANAGEMENT, LLC · Santa Barbara, CA
LPL FINANCIAL LLC · SANTA BARBARA, CA
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