Stephen B Pfeffer

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

• 03/1995 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Fort Worth, TX
• 03/2012 → Present
  Bank Of America, N.A.
  Fort Worth, TX

Other Businesses

I*382364, Name of OBA: C A. Farrell Realty Address: Fort Worth, TX Investment Related: No Position, Title, Association: Director Employee Start Date: 12/17/2013 No Hours: 5 Monthly No Hours during trading: 0 Duties: Our family owns rental properties, I do very little beyond occasional maintenance involved with rental homes and pay bills as I am needed to. All shares are in my wife's name and trust for my children. I*4508396 Entity Type: Charitable Name of OBA: Southwest Christian School Address: Fort Worth, Texas, 76123 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 09/01/2026 Number of Hours: 20, Monthly Number of Hours during trading: 8, Monthly Duties: Christian K - 12 school. General guidance

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-10-02
• S63 Uniform Securities Agent State Law Examination
  1993-09-03

Other Names

• Stephen B Pfeffer
• Stephen Pfeffer
• Stephen B Pfeffer
• Stephen Pfeffer
• Stephen Bradley Pfeffer