Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Elcock is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has been in the industry since 2002. Stephen has a wide range of experience, having worked with a number of firms, including ScotTrade, Inc., E*TRADE SECURITIES LLC, and BROWNCO, LLC. Stephen is registered to provide investment advice in 53 states and 2 territories. Stephen holds Series 7, 9, 10, 31, and 66 licenses. Stephen specializes in working with high-net-worth individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Stephen's firm, Merrill Lynch, Pierce, Fenner & Smith Inc., is a large, well-established firm with a wide range of services. The firm is known for its strong research capabilities and its commitment to providing personalized service to its clients.
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
08/29/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TAMPA FL)
FL
05/07/2018 - 07/17/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PUNTA GORDA FL)
FL
05/17/2011 - 03/08/2018
SCOTTRADE, INC. (FT. MYERS FL)
FL
02/13/2006 - 06/07/2010
E*TRADE SECURITIES LLC (FT. LAUDERDALE FL)
MA
04/08/2003 - 05/08/2006
BROWNCO, LLC (BOSTON MA)
MN
07/01/2002 - 10/07/2002
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/01/2002 - 10/07/2002
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 12/30/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/12/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/20/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/20/2023
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2002
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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