Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Arthur Bernardi has over 20 years of experience in the financial services industry. Stephen is currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has a broad range of experience, including previous roles at BANC OF AMERICA INVESTMENT SERVICES, INC., LASALLE FINANCIAL SERVICES, INC., CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION, EDWARD JONES and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Stephen holds licenses for Series 7, 9, 10, 24, 66 and the SIE exam. Stephen provides a variety of financial services including portfolio management, investment advisory services, pension consulting and educational seminars. Stephen has a long and successful career in the financial services industry and is committed to helping clients achieve their financial goals.
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
MI
04/14/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FARMINGTON HILLS MI)
MI
10/24/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (TROY MI)
MI
10/19/2006 - 10/24/2008
LASALLE FINANCIAL SERVICES, INC. (TROY MI)
MI
07/06/2005 - 08/29/2006
CHASE INVESTMENT SERVICES CORP. (ROCHESTER MI)
IL
02/26/2003 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
MO
10/31/2001 - 12/11/2002
EDWARD JONES (ST. LOUIS MO)
NY
03/14/2001 - 11/09/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 04/09/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/14/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/14/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/09/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2001
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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