Best Investors Account Sign in

Stephen Vincent Festa

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Santa Clarita, CA

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-31
CA RA APPROVED 2023-08-28
  • TX RA
    APPROVED_RES
    Since 2023-08-31
  • CA RA
    APPROVED
    Since 2023-08-28

Branch Locations

24200 Magic Mountain Pkwy, Santa Clarita, CA 91355 • 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 08/2008 03/2023
Charles Schwab Bank Los Angeles CA 05/2010 03/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Clarita CA 07/2023 Present
West Texas A&M University Canyon TX 06/2018 Present
Bank Of America, N.A. Santa Clarita CA 09/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-05
  • S66 Uniform Combined State Law Examination
    2007-07-05
Other Names
  • Stephen V Festa

View on SEC IAPD

Other Firms

MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
AVINCI WEALTH MANAGEMENT, INC.
CETERA INVESTMENT ADVISERS LLC
GLOBAL FINANCIAL ADVISORY SERVICES, INC.
THRIVENT INVESTMENT MANAGEMENT INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
LPL FINANCIAL LLC

Other Investors

KAMERIE JOY LARSEN
Natalia Carolina Avila
Robyn L Lawhon
JASON A GIETTER
Jeannette Harris
Michael Adam Wright
Willie Lopez
Rosario Patricia Nicho Casas

Other Offices

MORGAN STANLEY · VALENCIA, CA
J.P. MORGAN SECURITIES LLC · VALENCIA, CA
AVINCI WEALTH MANAGEMENT, INC. · VALENCIA, CA
CETERA INVESTMENT ADVISERS LLC · VALENCIA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · VALENCIA, CA
GLOBAL FINANCIAL ADVISORY SERVICES, INC. · VALENCIA, CA
THRIVENT INVESTMENT MANAGEMENT INC. · Valencia, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Valencia, CA

More in Santa Clarita, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor