Stephanie Lyn Carter

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Claim This Profile

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_RES	2013-02-07
FL	RA	APPROVED	2010-08-09

TX RA
APPROVED_RES

Since 2013-02-07
FL RA
APPROVED

Since 2010-08-09

Branch Locations

250 International Pkwy, Lake Mary, FL 32746 • United States

One Bryant Park, New York, NY 10036 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner And Smith, Inc.	Eustis	FL	10/2009	Present
Bank Of America, N.A.	Heathrow	FL	01/2013	Present

10/2009 → Present

Merrill Lynch, Pierce, Fenner And Smith, Inc.

Eustis, FL
01/2013 → Present

Bank Of America, N.A.

Heathrow, FL

Previous Registrations

2001-09-19 → 2002-11-12

Wells Fargo Clearing Services, Llc

Winter Park, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-07-23
S63	Uniform Securities Agent State Law Examination	2001-09-24

S65 Uniform Investment Adviser Law Examination

2010-07-23
S63 Uniform Securities Agent State Law Examination

2001-09-24

View on SEC IAPD

More in Lake Mary, FL

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor