Stephen L Collie

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

• 09/2011 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
• 11/2011 → Present
  Bank Of America, N.A.
  Charlotte, NC

Previous Registrations

• 2007-08-29 → 2011-08-31
  Wells Fargo Clearing Services, Llc
  Blacksburg, VA
  Charlotte, NC

Other Businesses

I*1969281, Entity Type, Entity for Profit, Name of OBA: Pass Perfect Executive Advisory Board, Address: Atlanta, GA, 30022, Investment Related: No, Position, Title, Association: Director, Employee Start Date: 10/10/2024, No Hours: 3hrs/Ann, No Hours during trading: 0, Duties: Enhance the recruitment and retention of skilled talent in financial firms and accelerate their impact on the industry. I*2646261, Entity Type: Entity Charitable, Name of OBA: Classroom Central, Address: Charlotte, North Carolina, 28208, Investment Related: N, Position, Title, Association: Committee, Employee State Date: 08/01/2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties: Provide support as a member of the community and supporter of this organizations work.This task force - a 100% volunteer activity - is responsible for creating a strategic communications plan for the organization to targe their audience more effectively. Serve on a committee that supports the broader board of directors and non-profit organization. Classroom Central is a local non-profit focused on supporting teachers with low-cost schools and other resources in and around Charlotte. I have volunteered with them on many occasions and have expressed interest in being involved in a greater capacity which is how this opportunity came to be.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-07-06
• S63 Uniform Securities Agent State Law Examination
  2005-01-21

Other Names

• Stephen Collie
• Stephen Lane Collie