Stephen L Rook

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2008 → Present
  Merrill Lynch
  Charlotte, NC
• 05/2011 → Present
  Bank Of America, N.A.
  Charlotte, NC

Other Businesses

I*: 2179265 Entity Type: Charitable Name of OBA: Youth Villages Address: Charlotte, NC 28269 Investment Related: No Position, Title, Association: Board member Employee Start Date: 1/29/2025 Number of Hours: 4 hrs mthly Number of Hours during trading: 1 hr mthly Duties: Youth Villages is a national leader in children's mental and behavioral health focused on providing the most effective help to children with emotional and behavioral problems, their families and young adults who are aging out of state services. My role as a board member will be to actively promote Youth Villages mission to help drive resources and support to the youth and families we serve and are committed to advocating for proven solutions in the child welfare system in North Carolina

Exams

• S66 Uniform Combined State Law Examination
  2008-09-03