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Stephen Arthur Bernardi

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Clayton, MO

Farmington Hills, MI

Macomb, MI

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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_RES 2022-04-14
MI RA APPROVED 2010-05-11
IL RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2022-04-14
  • MI RA
    APPROVED
    Since 2010-05-11
  • IL RA
    APPROVED
    Since 2009-10-23

Branch Locations

7676 Forsyth Blvd, Clayton, MO 63105 • United States

39001 W 12 Mile Rd, Farmington Hills, MI 48331 • United States

Macomb, MI • 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
Bank Of America, N.A. Troy MI 10/2007 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Troy MI 10/2009 Present
Previous Registrations
  • 2008-10-24 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Troy, MI
    Lincoln, RI
  • 2006-10-20 → 2008-10-24
    Lasalle Financial Services, Inc.
    Troy, MI
    Troy, MI
    Chicago, IL
  • 2005-07-06 → 2006-08-29
    Chase Investment Services Corp.
    Chicago, IL
    Rochester Hills, MI
  • 2003-02-26 → 2005-07-06
    Banc One Securities Corporation
    Rochester, MI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-09
  • S66 Uniform Combined State Law Examination
    2001-04-09

View on SEC IAPD

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