Stephen J Macken

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

• 03/2008 → 11/2016
  Hsbc Bank Usa
  New York, NY
• 11/2016 → 02/2021
  Hsbc Bank Usa, N.A.
  New York, NY
• 03/2008 → 02/2021
  Hsbc Securities (Usa) Inc.
  New York, NY
• 02/2021 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  New York, NY
• 04/2021 → Present
  Bank Of America, N.A.
  New York, NY

Previous Registrations

• 2016-10-17 → 2021-02-19
  Hsbc Securities (Usa) Inc.
  New York, NY
  New York, NY
  New York, NY
  New York, NY
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2016-10-17
• S63 Uniform Securities Agent State Law Examination
  2000-08-23