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Steve Tortora

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Springfield, MA

Melville, NY

New Haven, CT

Wallingford, CT

CRD 3183287

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-03-04
CT RA APPROVED 2003-11-19
  • TX RA
    APPROVED_RES
    Since 2013-03-04
  • CT RA
    APPROVED
    Since 2003-11-19

Branch Locations

1414 Main St, Springfield, MA 01144 • United States

300 Broadhollow Rd, Melville, NY 11747 • United States

157 Church St, New Haven, CT 06510 • United States

Wallingford, CT • 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 New Haven CT 11/1999 Present
  • 11/1999 → Present
    Merrill Lynch, Pierce, Fenner & Smith
    New Haven, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-04-30
S63 Uniform Securities Agent State Law Examination 1999-04-26
  • S66 Uniform Combined State Law Examination
    2002-04-30
  • S63 Uniform Securities Agent State Law Examination
    1999-04-26
Other Names
  • Stephen Tortora

View on SEC IAPD

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Nearby Investors

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Nearby Offices

RAYMOND JAMES & ASSOCIATES, INC. · SPRINGFIELD, MA
MORGAN STANLEY · Springfield, MA
LPL FINANCIAL LLC · SPRINGFIELD, MA

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