Stephen W Lee

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (9)

Series 66Series 9Series 10Series 4Series 53Series 24Series 52TOSIESeries 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)

25

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (19)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Los Angeles, CA · IA capacity
  Apr 17, 2014 → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Los Angeles, CA · BC capacity
  start not retrieved → present
• Chelsea Financial Services

  BD capacity
  Jan 14, 2014 → Feb 24, 2014
• Bancwest Investment Services, Inc.

  BD capacity
  Apr 23, 2010 → Nov 15, 2013
• Bancwest Investment Services, Inc. (Bwis) And Bwis D/B/A Fhis

  IA capacity
  Apr 23, 2010 → Nov 15, 2013
• Chase Investment Services Corp.

  BD capacity
  May 2, 2009 → Apr 26, 2010
• Chase Investment Services Corp.

  IA capacity
  May 2, 2009 → Apr 26, 2010
• Wamu Investments, Inc.

  IA capacity
  Feb 9, 2009 → May 2, 2009
• Wamu Investments, Inc.

  BD capacity
  Feb 5, 2009 → May 2, 2009
• Pruco Securities, LLC.

  BD capacity
  Apr 19, 2007 → Jan 29, 2009
• Prudential Financial Planning Services

  IA capacity
  Apr 19, 2007 → Jan 29, 2009
• Principal Funds Distributor, Inc.

  BD capacity
  Aug 25, 2005 → Feb 28, 2007
• Wm Financial Services, Inc.

  BD capacity
  Aug 20, 2003 → Aug 16, 2005
• Wm Financial Services, Inc.

  IA capacity
  Aug 20, 2003 → Aug 16, 2005
• Ids Life Insurance Company

  BD capacity
  May 1, 2002 → Jul 9, 2003
• American Express Financial Advisors Inc.

  BD capacity
  May 1, 2002 → Jul 9, 2003
• American Express Financial Advisors, Inc.

  IA capacity
  May 1, 2002 → Jul 9, 2003
• Raymond James Financial Services, Inc.

  BD capacity
  Aug 2, 2001 → Apr 17, 2002
• Ubs Painewebber Inc.

  BD capacity
  Feb 5, 2001 → Apr 6, 2001

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.

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