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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 2018-10-31
PA RA APPROVED 2018-01-23
  • TX RA
    APPROVED
    Since 2018-10-31
  • PA RA
    APPROVED
    Since 2018-01-23

Branch Locations

1040 Stony Hill Rd, Yardley, PA 19067 • 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 Yardley PA 10/2017 Present
Blackrock Wilmington DE 06/2011 09/2017
Bank Of America, N.A. Yardley PA 01/2018 Present
Previous Registrations
Other Businesses

I*2711262, Entity Type: , Name of OBA: EST OF S G III , Address: Doylestown, Pennsylvania, 18901, Investment Related: N, Position, Title, Association: Executor, Employee State Date: 08/08/2025, No Hours: 4 Weekly, No Hours during Trading: 1 Weekly, Duties:I*2723268, Entity Type: , Name of OBA: S E G, III Settlement Trust u/a/d 10.13.10, Address: Doylestown, Pennsylvania, 18901, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 08/13/2025, No Hours: 5 Weekly, No Hours during Trading: 1 Weekly, Duties:I*2742273, Entity Type: , Name of OBA: S E G, III Settlement Trst, u/a/d 10/13/10, Address: Doylestown, Pennsylvania, 18901, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 08/14/2025, No Hours: 5 Weekly, No Hours during Trading: 1 Weekly, Duties:I*2739271, Entity Type: , Name of OBA: S E G, III Settlement Trust u/a/d 10/13/10, Address: Doylestown, Pennsylvania, 18901, Investment Related: N, Position, Title, Association: Co-Trustee, Employee State Date: 08/14/2025, No Hours: 5 Weekly, No Hours during Trading: 1 Weekly, Duties:I*2829269Entity Type: N/AName of OBA: S.E.G DCSD TTEE U/A DTD 04/29/1991 BY S.E.Address:Doylestown PennsylvaniaInvestment Related:NoPosition, Title, Association:TrusteeStart Date:09/08/2025No Hours: 1 WeeklyNo Hours during trading:1Duties:Trustee for SiblingsI*3133271Entity Type: N/AName of OBA:U/A DTD 10/13/2010 by S.E.G., IIIAddress:Doylestown PennsylvaniaInvestment Related:NoPosition, Title, Association:Co-TrusteeStart Date:11/06/2025No Hours: 5 WeeklyNo Hours during trading:1 WeeklyDuties:Co-Trustee for SiblingsI*3133272Entity Type: N/AName of OBA:U/A DTD 10/13/2010 by S.E.G., IIIAddress:Doylestown PennsylvaniaInvestment Related:NoPosition, Title, Association:Co-TrusteeStart Date:11/06/2025No Hours: 5 WeeklyNo Hours during trading:1 WeeklyDuties:Co-Trustee for SiblingsI*3184319Entity Type: N/AName of OBA: SEGIII DEED TR 10.13.10Address: Doylestown, Pennsylvania, 18901Investment Related: NoPosition, Title, Association: Co-TrusteeEmployee Start Date: 11/19/2025Number of Hours: 1, WeeklyNumber of Hours during trading: 1, WeeklyDuties: Co-Trustee Siblings I*3990270 Entity Type: N/A Name of OBA: S E G DCSD TTEE U/A DTD 02/21/1998 BY MR S E G Address: Doylestown, Pennsylvania, 18902 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 03/10/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Siblings

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-01-22
  • S66 Uniform Combined State Law Examination
    2018-01-22
Other Names
  • Steven Craig Griffiths
  • Steven Griffiths

View on SEC IAPD

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