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Stephane Frederique Louis

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Scottsdale, AZ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-10-25
TX RA APPROVED 2017-10-24
  • CA RA
    APPROVED
    Since 2017-10-25
  • TX RA
    APPROVED
    Since 2017-10-24

Branch Locations

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • 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
Charles Schwab & Co., Inc. Phoenix AZ 09/1997 02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 09/2017 Present
Unemployed Cave Creek AZ 02/2017 09/2017
Bank Of America, N.A. Chandler AZ 10/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-10-23
S63 Uniform Securities Agent State Law Examination 1997-07-09
  • S66 Uniform Combined State Law Examination
    2017-10-23
  • S63 Uniform Securities Agent State Law Examination
    1997-07-09
Other Names
  • Stephane Decock
  • Stephane Frederique Louis
  • Stephane Louis
  • Stephen Louis

View on SEC IAPD

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