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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen A McGovern is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen A McGovern has been in the industry since 2005 and is registered in 40 states and the District of Columbia. Stephen A McGovern has previously worked at GFI Securities LLC, BGC FINANCIAL, L.P., CASTLEOAK SECURITIES, LP, GARBAN LLC, and GARBAN CAPITAL MARKETS LLC. Stephen A McGovern holds Series 3, 7, 63, and 66 securities licenses. Stephen A McGovern is a registered representative in New York, Connecticut, and Texas. Stephen A McGovern works out of the New York, NY branch office of Merrill Lynch, Pierce, Fenner & Smith Inc.
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
05/24/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
11/04/2013 - 12/04/2014
GFI SECURITIES LLC (NEW YORK NY)
NY
05/03/2006 - 09/18/2013
BGC FINANCIAL, L.P. (NEW YORK NY)
NY
05/05/2005 - 05/03/2006
CASTLEOAK SECURITIES, LP (NEW YORK NY)
NY
12/01/2004 - 04/18/2005
GARBAN LLC (NEW YORK NY)
NJ
10/22/2004 - 12/31/2004
GARBAN CAPITAL MARKETS LLC (JERSEY CITY NJ)
BOTH
Issued 01/29/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/18/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2004
Series 7 - General Securities Representative Examination
BC
Issued 07/22/2004
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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