Stephen Lacko

CRD 2785475 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: Stephen Scott Lacko; Steve Lacko; Stephen Lacko

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 63Series 10Series 9Series 8SIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 29
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (18)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · IA capacity

Jan 30, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · BC capacity

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

Nov 28, 2022 → Jan 24, 2025
Ubs Financial Services Inc.
BD capacity

Nov 23, 2022 → Jan 24, 2025
Lpl Financial LLC
BD capacity

Aug 9, 2019 → Aug 19, 2021
Stratos Wealth Partners, Ltd
IA capacity

Aug 13, 2019 → Aug 6, 2021
Pnc Investments
BD capacity

Nov 13, 2009 → Jul 31, 2019
Pnc Investments
IA capacity

Nov 13, 2009 → Jul 31, 2019
Natcity Investments, Inc.
BD capacity

Aug 7, 2007 → Nov 13, 2009
Natcity Investments, Inc.
IA capacity

Aug 7, 2007 → Nov 13, 2009
Ubs Financial Services Inc.
BD capacity

Feb 9, 2007 → Aug 24, 2007
Ubs Financial Services Inc.
IA capacity

Feb 9, 2007 → Aug 24, 2007
Mcdonald Investments Inc.
IA capacity

Jun 27, 2005 → Feb 9, 2007
Mcdonald Investments Inc.
BD capacity

Jun 24, 2005 → Feb 9, 2007
Merrill Lynch Pierce Fenner & Smith Inc.
IA capacity

Jan 3, 2005 → May 3, 2005
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Nov 10, 2004 → May 3, 2005
Mcdonald Investments Inc.
BD capacity

Mar 8, 2000 → Nov 3, 2004
Td Waterhouse Investor Services, Inc.
BD capacity

Jan 1, 1997 → Feb 22, 2000

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2785475 ↗ FINRA BrokerCheck record for CRD 2785475 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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