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Stephen Miles Weatherly

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Memphis, TN

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2008-12-12
TX RA APPROVED 2008-12-10
  • TN RA
    APPROVED
    Since 2008-12-12
  • TX RA
    APPROVED
    Since 2008-12-10

Branch Locations

6060 Poplar Ave, Memphis, TN 38119 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Germantown TN 12/2008 Present
Bank Of America, Na Germantown TN 12/2009 Present
  • 12/2008 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Germantown, TN
  • 12/2009 → Present
    Bank Of America, Na
    Germantown, TN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-05-27
S63 Uniform Securities Agent State Law Examination 1994-05-11
  • S65 Uniform Investment Adviser Law Examination
    1994-05-27
  • S63 Uniform Securities Agent State Law Examination
    1994-05-11
Other Names
  • Stephen M Weatherly

View on SEC IAPD

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