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Stephen F Sheffield

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA

Roseville, 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_RES 2013-01-03
CA RA APPROVED 2010-07-02
  • TX RA
    APPROVED_RES
    Since 2013-01-03
  • CA RA
    APPROVED
    Since 2010-07-02

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • United States

2998 Douglas Blvd, Roseville, CA 95661 • 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
Bank Of America, Na Los Angeles CA 07/2010 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 01/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-07-01
S63 Uniform Securities Agent State Law Examination 2005-04-02
  • S66 Uniform Combined State Law Examination
    2010-07-01
  • S63 Uniform Securities Agent State Law Examination
    2005-04-02
Other Names
  • Stephen Frederick Sheffield
  • Stephen Frederick Sheffield
  • Stephen Frederick Sheffield
  • Stephen Frederick Sheffield

View on SEC IAPD

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