William Stephen Mitchell

CRD 2498032 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: William Stephen Mitchell Jr

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 63Series 65Series 24SIESeries 7
Registered states (26): Alabama · Alaska · Arizona · California · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kentucky · Maine · Massachusetts · Missouri · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington
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 2498032 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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · IA capacity

Oct 27, 2014 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Southeast Investments, N.C., Inc.
BD capacity

Sep 30, 1997 → Oct 8, 2012
Corporate Securities Group, Inc.
BD capacity

Jan 29, 1997 → Sep 22, 1997
Rm Stark & Co Inc.
BD capacity

Nov 1, 1996 → Jan 22, 1997
Dickinson & Co.
BD capacity

Jul 8, 1994 → Oct 25, 1996
F.N. Wolf & Co., Inc.
BD capacity

Jun 23, 1994 → Aug 2, 1994

Source & corrections

Where this page comes from

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