Stephen Jon Pelleriti

CRD 1202950 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Wellesley Hills, MA

IA RegisteredBroker

Also appears in the source record as: Stephen Pelleriti; Steve Pelleriti

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 63Series 10Series 24Series 79TOSIESeries 7Series 6
Registered states (4): Connecticut · Florida · Massachusetts · New Hampshire
Years in the industry (source record): 42
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1202950 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Wellesley Hills, MA · IA capacity

Jun 3, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Wellesley Hills, MA · BC capacity

start not retrieved → present
Wells Fargo Securities, LLC
BD capacity

Nov 1, 2012 → Aug 6, 2014
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 16, 2010 → Apr 17, 2012
Banc Of America Securities LLC
BD capacity

Jun 29, 2004 → Nov 1, 2010
Fleet Securities, Inc.
BD capacity

Apr 3, 2001 → Jun 29, 2004
Quick & Reilly, Inc.
BD capacity

Jan 2, 2001 → Apr 20, 2001
Fleet Securities, Inc.
BD capacity

Feb 2, 1998 → Jan 2, 2001
Fleet Securities Inc.
BD capacity

Jul 13, 1993 → Feb 2, 1998
U.S. Securities, Inc.
BD capacity

Dec 24, 1991 → Jul 9, 1993
Bne Capital Markets, Inc.
BD capacity

Aug 1, 1990 → Nov 1, 1991
New England Discount Brokerage, Inc.
BD capacity

Sep 28, 1989 → Oct 17, 1990
Shearson Lehman Hutton Inc.
BD capacity

May 14, 1988 → Oct 25, 1988
E. F. Hutton & Company Inc
BD capacity

Jul 29, 1987 → May 14, 1988
The Equitable Life Assurance Society Of The United States
BD capacity

Jan 10, 1984 → May 14, 1984

Source & corrections

Where this page comes from

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