Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen E Spiegle is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., with more than 50 years of experience in the industry. Stephen has a broad range of experience, including both broker-dealer and investment advisor registrations. Stephen has Series 7, 63, SIE, PC and Series 1 licenses. Stephen is registered in 41 states and the District of Columbia. Stephen is registered in 2 states as an investment advisor representative, Ohio and Texas. Stephen has a previous registration with MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Stephen's current registration is with 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
OH
01/20/1987 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PEPPER PIKE OH)
NA
06/10/1968 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BC
Issued 02/23/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 06/07/1968
Series 1 - Registered 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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