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Stephen William Fillet

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Ontario, 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
CA RA APPROVED 2025-03-17
  • CA RA
    APPROVED
    Since 2025-03-17

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • United States

901 Via Piemonte, Ontario, CA 91764 • 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
Jesteda Partners Irvine CA 03/2002 03/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Ontario CA 06/2024 Present
Mufg Union Bank Ontario CA 03/2018 12/2022
U.S. Bank Ontario CA 12/2022 06/2024
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-03-14
S63 Uniform Securities Agent State Law Examination 1994-01-12
  • S66 Uniform Combined State Law Examination
    2025-03-14
  • S63 Uniform Securities Agent State Law Examination
    1994-01-12
Other Names
  • Stephen W Fillet
  • Stephen William Fillet

View on SEC IAPD

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