Stephen Miles Weatherly

CRD 2463024 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Memphis, TN

IA RegisteredBroker

Also appears in the source record as: Stephen M Weatherly

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 8SIESeries 31Series 3Series 7
Registered states (30): Alabama · Arizona · Arkansas · California · Connecticut · Florida · Georgia · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Massachusetts · Michigan · Mississippi · Missouri · Montana · Nebraska · Nevada · New Jersey · New York · North Carolina · Ohio · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2463024 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 (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Memphis, TN · IA capacity

Dec 10, 2008 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Memphis, TN · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
IA capacity

Jan 14, 2004 → Dec 16, 2008
Ubs Financial Services Inc.
BD capacity

Oct 4, 2002 → Dec 16, 2008
Wachovia Securities, Inc.
BD capacity

May 14, 1999 → Oct 17, 2002
Prudential Securities Incorporated
BD capacity

May 6, 1994 → May 20, 1999

Source & corrections

Where this page comes from

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