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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 Whitley is a financial advisor with over 11 years of experience in the industry. Stephen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., where Stephen has been employed since 2018. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen worked at Fidelity Brokerage Services LLC. Stephen has a wide range of experience in the financial services industry, including investment advisory, securities, and banking. Stephen is licensed in 53 states and holds the Series 63, Series 66, Series 7, and Series 9 and 10 registrations.
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
FL
07/15/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JACKSONVILLE FL)
FL
08/28/2008 - 08/04/2017
FIDELITY BROKERAGE SERVICES LLC (JACKSONVILLE FL)
BOTH
Issued 01/19/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/03/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/13/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/22/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2008
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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