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Jason James Stephens

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Laguna Niguel, CA

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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 2013-02-14
CA RA APPROVED 2011-10-25
  • TX RA
    APPROVED
    Since 2013-02-14
  • CA RA
    APPROVED
    Since 2011-10-25

Branch Locations

28202 Cabot Rd, Laguna Niguel, CA 92677 • 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 Laguna Niguel CA 10/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-22
S63 Uniform Securities Agent State Law Examination 2008-07-30
  • S66 Uniform Combined State Law Examination
    2011-10-22
  • S63 Uniform Securities Agent State Law Examination
    2008-07-30

View on SEC IAPD

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LPL FINANCIAL LLC · LAGUNA NIGUEL, CA
MORGAN STANLEY · Laguna Niguel, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Laguna Niguel, CA
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