Stephen Vincent Richer

CRD 4311772 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Sugar Land, TX

IA RegisteredBroker

Also appears in the source record as: Stephen V Richer; Steve Richer

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 7TOSIESeries 6Series 26Series 66Series 63
Registered states (51): 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 · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 25
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Frontenac, MO · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Sugar Land, TX · BC capacity

start not retrieved → present
Nylife Distributors LLC
Jersey City, NJ · BC capacity

Feb 11, 2019 → Mar 16, 2020
Lincoln Financial Distributors, Inc.
Radnor, PA · BC capacity

May 12, 2016 → Feb 22, 2019
Mml Distributors, LLC
Springfield, MA · BC capacity

Jan 2, 2013 → May 12, 2016
Hartford Securities Distribution Company, Inc.
North Richland Hills, TX · BC capacity

Jan 1, 2009 → Jan 2, 2013
Hartford Equity Sales Company Inc.
North Richland Hills, TX · BC capacity

Nov 15, 2007 → Jan 1, 2009
Gwfs Equities, Inc.
St. Louis, MO · BC capacity

Dec 5, 2000 → Oct 10, 2007

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4311772 ↗ FINRA BrokerCheck record for CRD 4311772 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.