Stephen Anthony Marinacci

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2014 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA
• 07/2014 → Present
  Bank Of America, N.A.
  Newport Beach, CA

Previous Registrations

• 2009-06-01 → 2014-04-24
  Morgan Stanley
  Long Beach, CA
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Long Beach, CA
• 2000-03-30 → 2007-04-02
  Morgan Stanley Dw Inc.
  Long Beach, CA
  Long Beach, CA

Other Businesses

I*71518 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PENGUIN PROPERTIES INVESTMENT RELATED: N ADDRESS OF BUSINESS: LAGUNA NIGUEL, CALIFORNIA 92677 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 4/22/2014 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: MANAGEMENT COMPANY FOR MY PERSONAL PROPERTIES. I*1069271 For profit or not for profit: Name of outside business organization: Rental Property 3 Investment related: N Address of business: Long Beach, California, 90803 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/9/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1069272 For profit or not for profit: Name of outside business organization: Rental Property 3 Investment related: N Address of business: St. Thomas, USVI, 00802 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/9/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1070266 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: La Quinta, California, 92253 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/9/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I*1070267 For profit or not for profit: Name of outside business organization: Rental Property 2 Investment related: N Address of business: Lake Arrowhead, California, 92352 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 11/9/2022 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I "951368", Name of OBA: Ruby Ridge LLC, Address: St. Thomas, USVI, Investment Related: N, Position, Title, Association["Officer"], Employee Start Date: 10/1/2022, No Hours: 1, Monthly, No Hours during trading: 0, Duties: "it is a management company for a rental property that my wife and I own.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-05-07
• S63 Uniform Securities Agent State Law Examination
  1999-04-26

Other Names

• Stephen Anthony Marinacci