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Stephanie Joyce Caen

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Melville, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-26
TX RA APPROVED 2021-08-17
  • NY RA
    APPROVED
    Since 2021-08-26
  • TX RA
    APPROVED
    Since 2021-08-17

Branch Locations

300 Broadhollow Rd, Melville, NY 11747 • 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
J.P. Morgan Securities Llc East Farmingdale NY 10/2012 04/2021
Jpmorgan Chase Bank, N.A East Farmingdale NY 05/2012 04/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Melville NY 04/2021 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-13
S63 Uniform Securities Agent State Law Examination 1999-11-23
  • S66 Uniform Combined State Law Examination
    2021-08-13
  • S63 Uniform Securities Agent State Law Examination
    1999-11-23
Other Names
  • Stephanie J Caen
  • Stephanie J Young
  • Stephanie Joyce Caen
  • Stephanie Caen

View on SEC IAPD

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