Steven Noce

CRD 4288062 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chandler, AZ

IA RegisteredBroker

Also appears in the source record as: Steve Noce

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 6Series 66Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 25
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4288062 contains one or more disclosure events as of Aug 20, 2026.

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FINRA BrokerCheck ↗ · SEC IAPD ↗

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
White Plains, NY · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chandler, AZ · BC capacity

start not retrieved → present
Valic Financial Advisors, Inc.
Berkeley Heights, NJ · IA capacity

Jan 9, 2015 → Dec 27, 2018
Valic Financial Advisors, Inc.
Berkeley Heights, NJ · BC capacity

Jan 7, 2015 → Dec 27, 2018
T. Rowe Price Advisory Services, Inc.
Owings Mills, MD · IA capacity

Jan 9, 2009 → Jan 5, 2015
T. Rowe Price Investment Services, Inc.
Owings Mills, MD · BC capacity

May 16, 2007 → Jan 5, 2015
Diversified Investors Securities Corp.
Purchase, NY · BC capacity

Dec 18, 2000 → May 4, 2007

Source & corrections

Where this page comes from

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