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Steven Leonard Stein

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Savannah, GA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2004-04-08
TX RA APPROVED_RES 1992-08-03
  • GA RA
    APPROVED
    Since 2004-04-08
  • TX RA
    APPROVED_RES
    Since 1992-08-03

Branch Locations

3 Skidaway Village Sq, Savannah, GA 31411 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Savannah GA 05/1990 Present
Bank Of America, Na Savannah GA 12/2009 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-06
S63 Uniform Securities Agent State Law Examination 1985-01-30
  • S65 Uniform Investment Adviser Law Examination
    1994-12-06
  • S63 Uniform Securities Agent State Law Examination
    1985-01-30
Other Names
  • Steve Stein

View on SEC IAPD

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CHARLES SCHWAB & CO., INC. · Savannah, GA
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STATE FARM INVESTMENT MANAGEMENT CORP. · Savannah, GA
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