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Markus A Stephens

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

Concord, CA

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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 2021-07-29
CA RA APPROVED 2021-07-27
  • TX RA
    APPROVED_RES
    Since 2021-07-29
  • CA RA
    APPROVED
    Since 2021-07-27

Branch Locations

555 California St, San Francisco, CA 94104 • United States

Concord, CA • 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
Pruco Securities, Llc San Francisco CA 03/2018 07/2021
Safeway Danville CA 05/2017 06/2018
Unemployed Pleasanton CA 01/2017 05/2017
Teksystems Walnut Creek CA 07/2016 01/2017
The Prudential Insurance Company Of America San Francisco CA 05/2018 07/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 06/2021 Present
  • 03/2018 → 07/2021
    Pruco Securities, Llc
    San Francisco, CA
  • 05/2017 → 06/2018
    Safeway
    Danville, CA
  • 01/2017 → 05/2017
    Unemployed
    Pleasanton, CA
  • 07/2016 → 01/2017
    Teksystems
    Walnut Creek, CA
  • 05/2018 → 07/2021
    The Prudential Insurance Company Of America
    San Francisco, CA
  • 06/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    San Francisco, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-11-14
S63 Uniform Securities Agent State Law Examination 2018-05-10
  • S65 Uniform Investment Adviser Law Examination
    2018-11-14
  • S63 Uniform Securities Agent State Law Examination
    2018-05-10
Other Names
  • Markus Allen Stephens

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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