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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 1992-01-07
  • AL RA
    APPROVED
    Since 1992-01-07

Branch Locations

601 N Section St, Fairhope, AL 36532 • 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 Mobile AL 04/1984 Present
Bank Of America, N.A. Fairhope AL 06/2011 Present
Other Businesses

I*60372 For profit or not for profit: Non-Profit Organization Name of outside business organization: Mobile Memorial Gardens, Inc Investment related: Y Address of business: Moblie, Alabama 36619 Nature of business: Other,501(c)13 Position, title, association: , Start date of relationship: 4/2/2019 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: Board member & Secretary of the board. Board members meet monthly to review finances and ops. The board employs a full time manager. Board Members are trustees of the Endowments. Corporate Secretary executes corp docs but has no Financial duties I*468146 For profit or not for profit: Entity Charitable Name of outside business organization: University of South Alabama Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["School, College or University"] Position, title, association: ["Board Member"], Start date of relationship: 5/1/2023 Number of hours devoted: 3 hour(s) Yearly Number of hours devoted during trading hours: 3 Duties: , State University Chair 2X /yr meetings:Advise Prof/Stud re: careers I*111328 For profit or not for profit: For-Profit Organization Name of outside business organization: Clark Fork Properties, LLC Investment related: N Address of business: Spanish Fort, Alabama 36527 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 1/15/2018 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: A fish camp and certain associated personal property (boats, furniture etc.. owned by a new LLC with 6 original members for the use of the members and their guests. There is no profit motive although renting the property would remain an option.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-02-24
S63 Uniform Securities Agent State Law Examination 1984-07-11
  • S65 Uniform Investment Adviser Law Examination
    2000-02-24
  • S63 Uniform Securities Agent State Law Examination
    1984-07-11
Other Names
  • Stephen Baker
  • Stephen Patrick Baker

View on SEC IAPD

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