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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-08-17
TX RA APPROVED 2023-05-16
DE RA APPROVED 2022-08-22
  • PA RA
    APPROVED
    Since 2026-08-17
  • TX RA
    APPROVED
    Since 2023-05-16
  • DE RA
    APPROVED
    Since 2022-08-22

Branch Locations

1600 Jfk Blvd, Philadelphia, PA 19103 • United States

55 Kings Hwy, Dover, DE 19901 • 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 Wilmington DE 09/2017 01/2022
The Rockford Center Newark DE 10/2015 09/2017
Brown Advisory Wilmington DE 01/2022 08/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Dover DE 08/2022 Present
Previous Registrations
Other Businesses

Status: APPRVD I*557359 For profit or not for profit: Entity For Profit Name of outside business organization: Etsy Shop Investment related: N Address of business: Townsend, Delaware, 19734 Nature of business: Limited Liability Company Position, title, association: Owner Start date of relationship: 10/2021 Number of hours devoted: 5 hour(s) Weekly Number of hours devoted during trading hours: 0 Duties: To sell homegoods, shelves, decorative items

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-03-13
  • S66 Uniform Combined State Law Examination
    2018-03-13
Other Names
  • Stephen Smith
  • Stephen Aaron Smith
  • Stephen A Giannangeli

View on SEC IAPD

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