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Stacey Marie Bertrand

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pepper Pike, OH

CRD 1352517

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Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-04-07
OH RA APPROVED 2004-04-26
  • TX RA
    APPROVED_RES
    Since 2009-04-07
  • OH RA
    APPROVED
    Since 2004-04-26

Branch Locations

30195 Chagrin Blvd, Pepper Pike, OH 44124 • 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 Pepper-Pike OH 07/1991 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-18
S63 Uniform Securities Agent State Law Examination 1985-04-12
  • S66 Uniform Combined State Law Examination
    2002-11-18
  • S63 Uniform Securities Agent State Law Examination
    1985-04-12
Other Names
  • Stacey Marie Lyle

View on SEC IAPD

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Nearby Investors

JAMES BURNER CREW
Ridwan Kolade Umar
Pierson Joseph Wagner

Nearby Offices

NIRVANA ANALYTICS, LLC · PEPPER PIKE, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · PEPPER PIKE, OH
UBS FINANCIAL SERVICES INC. · PEPPER PIKE, OH

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