Steven G. Walraven
Professional summary
Steven Gabriel Walraven was a registered financial advisor .
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Steven had worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2025 - Present
August 10, 2021 - September 13, 2023
COMPOUND ADVISERS, INC.
September 14, 2017 - June 18, 2021
MML INVESTORS SERVICES, LLC
June 13, 2017 - June 18, 2021
MML INVESTORS SERVICES, LLC
January 8, 2015 - April 20, 2017
CITY NATIONAL ROCHDALE
July 8, 2013 - April 20, 2017
CNR SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/29/2025)
(9/18/2025)
Exams
Series 7TO
Date: 3/2/2024
General Securities Representative ExaminationCurrent firm
No current employment
Red Flags
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