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Steve Caldarola

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-02-25
  • IL RA
    APPROVED
    Since 2020-02-25

Branch Locations

540 W Madison St Ci Client Management, Chicago, IL 60661 • United States

One Bryant Park, New York, NY 10036 • 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 Rolling Meadows IL 11/2019 Present
Bank Of America, N.A. Rolling Meadows IL 11/2019 Present
Arthur J Gallagher Rolling Meadows IL 05/2014 11/2019
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-21
  • S66 Uniform Combined State Law Examination
    2020-02-21
Other Names
  • Steve Caldarola
  • Steven J Caldarola
  • Steve J Caldarola
  • Steven John Caldarola

View on SEC IAPD

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