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Stephen Vincent Richer

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Frontenac, MO

Sugar Land, TX

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-08-19
MO RA APPROVED 2020-08-05
  • TX RA
    APPROVED
    Since 2020-08-19
  • MO RA
    APPROVED
    Since 2020-08-05

Branch Locations

1630 S Lindbergh Blvd, Frontenac, MO 63131 • United States

13135 Dairy Ashford Rd Retirement & Personal Wealth Solutions, Sugar Land, TX 77478 • 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
Lincoln Financial Radnor PA 05/2016 02/2019
New York Life Wildwood MO 02/2019 03/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Saint Louis MO 03/2020 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-04
S63 Uniform Securities Agent State Law Examination 2001-01-09
  • S66 Uniform Combined State Law Examination
    2020-08-04
  • S63 Uniform Securities Agent State Law Examination
    2001-01-09
Other Names
  • Stephen Vincent Richer
  • Steve Richer
  • Stephen V Richer

View on SEC IAPD

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KIMBERLY A KETTLER
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KATHLEEN ANN TRIBOUT
LOUIS THOMAS PELLEGRINI
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Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · FRONTENAC, MO
STIFEL, NICOLAUS & COMPANY, INCORPORATED · FRONTENAC, MO
J.P. MORGAN SECURITIES LLC · Frontenac, MO
STRATEGIC ADVISERS LLC · ST. LOUIS, MO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAINT LOUIS, MO
WELLS FARGO CLEARING SERVICES, LLC · FRONTENAC, MO
WELLS FARGO CLEARING SERVICES, LLC · FRONTENAC, MO
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · FRONTENAC, MO

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