Stephen P Melz

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2013-07-11
CT	RA	APPROVED	2012-07-10

TX RA
APPROVED

Since 2013-07-11
CT RA
APPROVED

Since 2012-07-10

Branch Locations

West Newbury, MA • United States

100 Federal St, Boston, MA 02110 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Boston	MA	05/2012	Present
Bank Of America, N.A.	Boston	MA	11/2012	Present

05/2012 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA
11/2012 → Present

Bank Of America, N.A.

Boston, MA

Other Businesses

1) BNI - WINCHESTER, MA., SUDBURY, MASSACHUSETTS 01776, INVESTMENT RLT'D - NO, HRS DEVOTED TO ACTIVITY - 7, HRS DURING TRADING - 0, DATE ACTIVITY BEGAN 06/03/13, POSITION - COMMITTEE MEMBER; I AM ON MEMEBERSHIP COMMITTEE. Reportable - Fundraising - Added to FINRA Status: APPRVD I*106241 For profit or not for profit: Non-Profit Organization Name of outside business organization: Home Base Investment related: N Address of business: Boston, Massachusetts 2114 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 4/10/2017 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Home Base gives clinical care to veterans returning from combat with "invisible" injuries (PTSD, TBI). I am a board member responsible for coordinating and marketing events to raise funds and awareness to help these veterans

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-07-09
S63	Uniform Securities Agent State Law Examination	1989-04-21

S66 Uniform Combined State Law Examination

2012-07-09
S63 Uniform Securities Agent State Law Examination

1989-04-21

Other Names

Stephen Peter Melz

View on SEC IAPD