Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Brenner is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., located in New York City. Stephen has over 20 years of experience in the financial services industry. Stephen has held various positions at other firms including Citigroup Global Markets Inc., J.P. Morgan Securities LLC, and Dean Witter Reynolds Inc. Stephen provides portfolio management for individuals, businesses, and pension plans. Stephen's current licenses include Series 7, Series 24, Series 63, and Series 65.
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
10/19/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
03/20/2015 - 04/29/2016
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/12/2006 - 02/05/2015
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
01/19/2005 - 07/13/2006
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IL
11/09/2004 - 01/20/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IL
04/20/2001 - 01/20/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NY
04/20/1999 - 08/23/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 04/03/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/07/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/19/2004
Series 4 - Registered Options Principal Examination
BC
Issued 11/01/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1999
Series 7 - General Securities Representative 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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