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Steven Mark Soriano

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, 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_RES 2021-12-01
CA RA APPROVED 2021-11-29
  • TX RA
    APPROVED_RES
    Since 2021-12-01
  • CA RA
    APPROVED
    Since 2021-11-29

Branch Locations

800 E Colorado Blvd, Pasadena, CA 91101 • 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
Farmers Insurance San Dimas CA 03/2015 12/2016
Farmers Financial Solutions San Dimas CA 03/2015 12/2016
Thrivent Investment Management Inc Glendale CA 01/2017 03/2020
Thrivent Financial Appleton WI 06/2017 08/2017
Thrivent Financial Appleton WI 08/2017 03/2020
Farmers Insurance Temple City CA 03/2020 10/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pasadena CA 10/2021 Present
  • 03/2015 → 12/2016
    Farmers Insurance
    San Dimas, CA
  • 03/2015 → 12/2016
    Farmers Financial Solutions
    San Dimas, CA
  • 01/2017 → 03/2020
    Thrivent Investment Management Inc
    Glendale, CA
  • 06/2017 → 08/2017
    Thrivent Financial
    Appleton, WI
  • 08/2017 → 03/2020
    Thrivent Financial
    Appleton, WI
  • 03/2020 → 10/2021
    Farmers Insurance
    Temple City, CA
  • 10/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Pasadena, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-06-05
  • S66 Uniform Combined State Law Examination
    2017-06-05

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA
J.P. MORGAN SECURITIES LLC · PASADENA, CA

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