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Stephon Denell Pieters

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Loma Linda, 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
CA RA APPROVED 2018-11-09
TX RA APPROVED_RES 2018-11-09
  • CA RA
    APPROVED
    Since 2018-11-09
  • TX RA
    APPROVED_RES
    Since 2018-11-09

Branch Locations

11195 Anderson St, Loma Linda, CA 92354 • 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
Scottrade, Inc Rancho Cucamonga CA 01/2010 03/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Redlands CA 11/2018 Present
Bank Of America, N.A. Redlands CA 11/2018 Present
Unemployed Menifee CA 03/2018 11/2018
Previous Registrations
  • 2016-09-28 → 2018-03-09
    Scottrade Investment Management
    Saint Louis, MO
  • 2003-12-09 → 2010-01-25
    Td Ameritrade, Inc.
    Upland, CA
    Rancho Cucamonga, CA
  • 2006-04-24 → 2010-01-25
    Td Ameritrade Investment Management, Llc
    Rancho Cucamonga, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-25
S63 Uniform Securities Agent State Law Examination 2001-05-30
  • S66 Uniform Combined State Law Examination
    2003-11-25
  • S63 Uniform Securities Agent State Law Examination
    2001-05-30
Other Names
  • Stephon D Pieters
  • Stephon Denell Pieters
  • Stephon Pieters

View on SEC IAPD

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PROSPERA FINANCIAL SERVICES, INC.
PFS INVESTMENTS INC.
GUIDING WEALTH MANAGEMENT, LLC
LINDSEY FINANCIAL, INC.

Other Investors

Calvin Wu
Lilia Hernandez
DASHAN VON HAYHURST
JOHN BOECK KEEN
KATHERINE VANDER VEEN
JASON LEWIS
ALEXIS HUNDLEY
CHARLIE LOWENBERG

Other Offices

CITIGROUP GLOBAL MARKETS INC. · LOMA LINDA, CA
J.P. MORGAN SECURITIES LLC · LOMA LINDA, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · San Bernardno, CA
INTEGRATED WEALTH CONCEPTS LLC · REDLANDS, CA
INTEGRATED WEALTH CONCEPTS LLC · REDLANDS, CA
PROSPERA FINANCIAL SERVICES, INC. · Redlands, CA
PFS INVESTMENTS INC. · REDLANDS, CA
PFS INVESTMENTS INC. · REDLANDS, CA

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