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Stephen Christopher Finley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Fairless Hills, PA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-08-06
NJ RA APPROVED 2007-12-03
TX RA APPROVED 2007-10-10
  • PA RA
    APPROVED
    Since 2024-08-06
  • NJ RA
    APPROVED
    Since 2007-12-03
  • TX RA
    APPROVED
    Since 2007-10-10

Branch Locations

1100-1800 American Blvd Central Business Review Unit, Pennington, NJ 08534 • United States

Fairless Hills, PA • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Pennington NJ 05/2006 Present
Merrill Lynch Hopewell NJ 05/2006 Present
Bank Of America, N.A. Pennington NJ 07/2011 Present
  • 05/2006 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Pennington, NJ
  • 05/2006 → Present
    Merrill Lynch
    Hopewell, NJ
  • 07/2011 → Present
    Bank Of America, N.A.
    Pennington, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-08
  • S66 Uniform Combined State Law Examination
    2007-10-08
Other Names
  • Stephen Christopher Finley

View on SEC IAPD

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