Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Charles Ethen is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 30 years of experience in the financial services industry. Stephen has held numerous licenses and registrations throughout his career. He is currently registered as a Registered Representative (RA) with the Securities and Exchange Commission (SEC) and holds Series 63 and Series 65 licenses. Stephen has worked for Merrill Lynch, Pierce, Fenner & Smith Inc. since July 1993. Prior to that, Stephen worked for American Express Financial Advisors Inc. and IDS Life Insurance Company. Stephen is also an active member of the West Point Association of Graduates and dedicates a small amount of time each year to fundraising for the organization.
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
VI
07/31/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE AMALIE VI)
MN
03/03/1993 - 06/08/1993
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
03/03/1993 - 06/08/1993
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 10/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/05/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/06/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 03/01/1993
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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