Stephen P Melz

CRD 1932994 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Boston, MA

IA RegisteredBroker

Also appears in the source record as: Stephen Peter Melz

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 63Series 10Series 9Series 57TOSIESeries 55Series 7
Registered states (33): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Iowa · Maine · Maryland · Massachusetts · Minnesota · Missouri · Montana · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1932994 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 (10)

From the source registration record · current first

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

Jul 10, 2012 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Boston, MA · BC capacity

start not retrieved → present
Collins Stewart LLC.
BD capacity

Aug 16, 2011 → Jan 27, 2012
Leerink Swann LLC
BD capacity

Jun 7, 2010 → Jul 13, 2011
Susquehanna Financial Group, Lllp
BD capacity

Sep 9, 2008 → Feb 8, 2010
J.P. Morgan Securities Inc.
BD capacity

May 1, 2001 → Sep 16, 2008
J.P. Morgan Securities Inc.
BD capacity

May 1, 2000 → May 1, 2001
Abn Amro Incorporated
BD capacity

Jan 2, 1997 → Apr 20, 2000
The Chicago Corporation
BD capacity

Feb 6, 1995 → Jan 2, 1997
Kidder, Peabody & Co. Incorporated
BD capacity

Mar 21, 1989 → Feb 10, 1995

Source & corrections

Where this page comes from

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