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Steven D'ALise

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oak Brook, IL

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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 2012-06-05
IL RA APPROVED 2007-05-14
  • TX RA
    APPROVED_RES
    Since 2012-06-05
  • IL RA
    APPROVED
    Since 2007-05-14

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • 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 Chicago IL 05/2007 Present
Bank Of America, Na Chicago IL 12/2009 Present
  • 05/2007 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Chicago, IL
  • 12/2009 → Present
    Bank Of America, Na
    Chicago, IL
Previous Registrations
  • 2005-05-11 → 2007-05-18
    William Blair
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2002-04-19 → 2005-05-12
    Morgan Stanley Dw Inc.
    Chicago, IL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-04-25
S65 Uniform Investment Adviser Law Examination 2002-04-18
  • S63 Uniform Securities Agent State Law Examination
    2002-04-25
  • S65 Uniform Investment Adviser Law Examination
    2002-04-18
Other Names
  • Steve D'ALise
  • Steven James D'ALise
  • Steven James Dalise

View on SEC IAPD

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Other Offices

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
WEALTHQUEST CORPORATION · OAK BROOK, IL
ERGAWEALTH ADVISORS, INC. · OAK BROOK, IL
CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL
LPL FINANCIAL LLC · OAK BROOK, IL
CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL

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