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Stephen Milan Shaner

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Woodland Hills, CA

Newport Beach, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-03-24
CA RA APPROVED 2016-11-30
  • TX RA
    APPROVED
    Since 2017-03-24
  • CA RA
    APPROVED
    Since 2016-11-30

Branch Locations

21215 Burbank Blvd, Woodland Hills, CA 91367 • United States

520 Newport Center Dr, Newport Beach, CA 92660 • 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 Woodland Hills CA 09/2016 Present
Ropers, Majeski, Kohn & Bentley, Pc Los Angeles CA 12/2013 09/2016
Bank Of America, N.A. Woodland Hills CA 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-29
  • S66 Uniform Combined State Law Examination
    2016-11-29
Other Names
  • Stephen Shaner

View on SEC IAPD

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Other Offices

MERCER GLOBAL ADVISORS INC. · Woodland Hills, CA
INDEPENDENT FINANCIAL GROUP, LLC · Woodland Hills, CA
VENTURA ADVISORS · WOODLAND HILLS, CA
LPL FINANCIAL LLC · WOODLAND HILLS, CA
LINCOLN INVESTMENT · WOODLAND HILLS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Woodland Hills, CA
CITIGROUP GLOBAL MARKETS INC. · Woodland Hills, CA
CHELSEA MANAGEMENT COMPANY · WOODLAND HILLS, CA

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