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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_RES 2021-10-26
MO RA APPROVED 2021-10-22
  • TX RA
    APPROVED_RES
    Since 2021-10-26
  • MO RA
    APPROVED
    Since 2021-10-22

Branch Locations

1630 S Lindbergh Blvd, Frontenac, MO 63131 • 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
Td Ameritrade St. Louis MT 12/2017 01/2018
St. Theresa Of Avila Salem IL 07/2016 01/2019
Wells Fargo Clearing Services, Llc Saint Louis MO 01/2019 01/2021
Jp Morgan Chase Bank St. Louis MO 01/2021 09/2021
Jpmorgan Securities Llc St. Louis MO 01/2021 09/2021
Wells Fargo Advisors St. Louis MO 01/2019 01/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Frontenac MO 09/2021 Present
  • 12/2017 → 01/2018
    Td Ameritrade
    St. Louis, MT
  • 07/2016 → 01/2019
    St. Theresa Of Avila
    Salem, IL
  • 01/2019 → 01/2021
    Saint Louis, MO
  • 01/2021 → 09/2021
    Jp Morgan Chase Bank
    St. Louis, MO
  • 01/2021 → 09/2021
    Jpmorgan Securities Llc
    St. Louis, MO
  • 01/2019 → 01/2021
    Wells Fargo Advisors
    St. Louis, MO
  • 09/2021 → Present
    Frontenac, MO
Previous Registrations
Other Businesses

I*3025264, Entity Type: Entity For Profit, Name of OBA: E-Book Time, LLC, Address: Montgomery, Alabama, 36108, Investment Related: N, Position, Title, Association: Other, Employee State Date:10/27/2025, No Hours: 3 Weekly, No Hours during Trading: 0 Weekly, Duties: I would like to write a couple books concerning the Independent Sacramental Movement including theology of the movement and issues found within ISM communities.This is a book publishing LLC for authors who self-publish books I*3207267 Entity Type: Entity For Profit,Entity Publicly Traded Name of OBA: Kindle Direct Publishing Address: Seattle, Washington, 98109 Investment Related: No Position, Title, Association: Other Employee Start Date: 11/28/2025 Number of Hours: 3, Weekly Number of Hours during trading: 0, Weekly Duties: Self-publishing book publisher I would like to write a couple of books concerning the Independent Sacramental movement including the theology of the movement and issues found within ISM communities

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-10-05
S63 Uniform Securities Agent State Law Examination 2018-09-07
  • S65 Uniform Investment Adviser Law Examination
    2018-10-05
  • S63 Uniform Securities Agent State Law Examination
    2018-09-07
Other Names
  • Benjamin Joseph Stern
  • Benjamin J. Stern

View on SEC IAPD

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