Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Caen is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc.. Stephanie has over 20 years of experience in the financial industry and holds Series 3, 7, 63, and 66 licenses. Stephanie is registered with the Securities and Exchange Commission (SEC) and FINRA and holds active licenses in multiple states. Stephanie specializes in providing investment advice to individuals, businesses, and institutions. Stephanie offers a range of services, including investment management, financial planning, and retirement planning. Stephanie previously worked at J.P. Morgan Securities LLC and Chase Investment Services Corp.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
08/17/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MELVILLE NY)
NY
10/01/2012 - 04/28/2021
J.P. MORGAN SECURITIES LLC (EAST FARMINGDALE NY)
NY
02/22/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (EAST FARMINGDALE NY)
NY
12/07/2006 - 02/04/2010
METLIFE SECURITIES INC. (HAUPPAUGE NY)
NY
12/07/2006 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (HAUPPAUGE NY)
NY
03/23/1998 - 05/06/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 08/13/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/1998
Series 7 - General Securities Representative Examination
BC
Issued 06/29/1988
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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