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Stephen Pavia

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Darien, CT

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
CT RA APPROVED 2021-04-26
  • CT RA
    APPROVED
    Since 2021-04-26

Branch Locations

1020 Post Rd, Darien, CT 06820 • 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
Wells Fargo Advisors Llc Greenwich CT 04/1994 11/2019
Wells Fargo Clearing Services, Llc Greenwich CT 10/2000 12/2018
Jp Morgan Chase Bank Stamford CT 10/2019 03/2021
Jp Morgan Securities Llc Stamford CT 10/2019 03/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stamford CT 03/2021 Present
Previous Registrations
  • 2019-12-10 → 2021-03-09
    J.P. Morgan Securities Llc
    Stamford, CT
  • 2006-04-07 → 2018-12-11
    Wells Fargo Clearing Services, Llc
    Minneapolis, MN
    Stamford, CT
    Charlotte, NC
    Stamford, CT
    Greenwich, CT
    Greenwich, CT
    Stamford, CT
    Stamford, CT
    Stamford, CT
    Purchase, NY
    White Plains, NY
    Minneapolis, MN
    Purchase, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-05
S63 Uniform Securities Agent State Law Examination 1995-09-27
  • S65 Uniform Investment Adviser Law Examination
    2006-04-05
  • S63 Uniform Securities Agent State Law Examination
    1995-09-27

View on SEC IAPD

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