Steven Richard Penton

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2017-07-31
TX	RA	APPROVED	2006-06-26
OH	RA	APPROVED	1999-09-12

CO RA
APPROVED

Since 2017-07-31
TX RA
APPROVED

Since 2006-06-26
OH RA
APPROVED

Since 1999-09-12

Branch Locations

45 E Washington St, Chagrin Falls, OH 44022 • United States

Carbondale , CO • United States

301 E Hopkins Ave, Aspen, CO 81611 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Cleveland	OH	07/1994	Present
Bank Of America,N.A.	Cleveland	OH	06/2011	Present

07/1994 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cleveland, OH
06/2011 → Present

Bank Of America,N.A.

Cleveland, OH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-11-17
S63	Uniform Securities Agent State Law Examination	1994-11-04

S65 Uniform Investment Adviser Law Examination

1994-11-17
S63 Uniform Securities Agent State Law Examination

1994-11-04

Other Names

Steven R Penton

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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