Stephen Foster Nett

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

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	2005-03-01
NC	RA	APPROVED	2003-05-20

TX RA
APPROVED_RES

Since 2005-03-01
NC RA
APPROVED

Since 2003-05-20

Branch Locations

620 S Tryon St, Charlotte, NC 28255 • United States

Charlotte, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
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 & Smith Inc.	Charlotte	NC	02/2003	Present
Bank Of America, N.A.	Charlotte	NC	07/2011	Present

02/2003 → Present

Merrill Lynch, Pierce, Fenner & Smith Inc.

Charlotte, NC
07/2011 → Present

Bank Of America, N.A.

Charlotte, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-05-14

S66 Uniform Combined State Law Examination

2003-05-14

Other Names

Stephen F Nett

View on SEC IAPD

Employer firm

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

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