Stephen Daniel Grimes

CRD 2935524 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Newport Beach, CA

IA RegisteredBroker

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

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 10Series 9SIESeries 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

The official record for CRD 2935524 contains one or more disclosure events as of Aug 20, 2026.

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FINRA BrokerCheck ↗ · 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 (16)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Newport Beach, CA · IA capacity

Apr 6, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Newport Beach, CA · BC capacity

start not retrieved → present
Scottrade Investment Management
IA capacity

Jan 27, 2017 → Mar 8, 2018
Scottrade, Inc.
BD capacity

Oct 26, 2016 → Mar 8, 2018
J.P. Morgan Securities LLC
BD capacity

Jun 29, 2015 → Oct 13, 2016
J.P. Morgan Securities LLC
IA capacity

Jun 29, 2015 → Oct 13, 2016
Td Ameritrade, Inc.
BD capacity

Feb 6, 2008 → Jun 3, 2015
Td Ameritrade, Inc.
IA capacity

Feb 6, 2008 → Jun 3, 2015
Amerivest Investment Management, LLC
IA capacity

Feb 6, 2008 → Jun 3, 2015
Fidelity Brokerage Services LLC
BD capacity

May 11, 2006 → Jan 28, 2008
Ubs Financial Services Inc.
BD capacity

Jan 13, 2005 → Apr 7, 2006
Ubs Financial Services Inc.
IA capacity

Jan 13, 2005 → Apr 7, 2006
Charles Schwab & Co., Inc.
IA capacity

Jul 27, 2004 → Nov 29, 2004
Charles Schwab & Co., Inc.
BD capacity

Apr 21, 2004 → Nov 29, 2004
The Geneva Companies Inc.
BD capacity

Aug 30, 2002 → Apr 16, 2004
Salomon Smith Barney Inc.
BD capacity

Nov 12, 1997 → Jul 24, 2001

Source & corrections

Where this page comes from

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