Stephanie Angela Mondragon

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

Authority	Category	Status	Date
TX	RA	APPROVED	2017-05-17
CA	RA	APPROVED	2017-04-12

TX RA
APPROVED

Since 2017-05-17
CA RA
APPROVED

Since 2017-04-12

Branch Locations

Lake Elsinore, CA • United States

2555-2595 W Chandler Blvd Ci Client Management, Chandler, AZ 85224 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Lake Elsinore	CA	08/2015	Present
Bank Of America, N.A.	Lake Elsinore	CA	08/2015	Present

08/2015 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lake Elsinore, CA
08/2015 → Present

Bank Of America, N.A.

Lake Elsinore, CA

Other Businesses

I*823249For profit or not for profit: Entity For ProfitName of outside business organization: Momma Mondragon's MacaronsInvestment related: NAddress of business: Moreno Valley, California, 92555Nature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 9/1/2022Number of hours devoted: 10 hour(s) WeeklyNumber of hours devoted during trading hours: 0Duties: , Business owner I*136663For profit or not for profit: For-Profit OrganizationName of outside business organization: Momma Mondragon's MacaronsInvestment related: NAddress of business:Menifee, California 92585Nature of business: Family Business,Position, title, association: Owner, Start date of relationship: 3/9/2021Number of hours devoted: 40 hour(s) MonthlyNumber of hours devoted during trading hours: 0Duties: I make macarons for friends and family. I have a facebook page.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-02-17

S66 Uniform Combined State Law Examination

2017-02-17

Other Names

Stephanie Angela Stallworth
Stephanie Mondragon

View on SEC IAPD