Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen MacKenzie is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen MacKenzie has been in the industry since October 6, 1988. Stephen MacKenzie has held previous positions at a variety of firms including Madison Proprietary Trading Group, LLC, Searle & Co., Mack Trading LLC, E*TRADE Clearing LLC, Fleet Securities, Inc., First New York Securities L.L.C., Tucker, Anthony & R. L. Day, Inc. and Newhard, Cook & Co. Incorporated. Stephen MacKenzie has a wide range of experience and has worked with a variety of clients including individuals, corporations, and institutions. Stephen MacKenzie currently provides a range of financial services including portfolio management, financial planning, and investment advice. Stephen MacKenzie is also licensed to provide securities and investment advisory services in multiple states.
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
CT
06/17/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW CANAAN CT)
NY
10/05/2009 - 09/22/2010
MADISON PROPRIETARY TRADING GROUP, LLC (NEW YORK NY)
CT
02/05/2009 - 10/01/2009
SEARLE & CO. (GREENWICH CT)
NY
09/15/2000 - 10/31/2007
MACK TRADING LLC (NEW YORK NY)
NY
04/07/1998 - 01/08/2007
E*TRADE CLEARING LLC (NEW YORK NY)
TX
04/27/1992 - 03/27/1998
FLEET SECURITIES, INC. (DALLAS TX)
NY
10/17/1988 - 04/08/1989
FIRST NEW YORK SECURITIES L.L.C. (NEW YORK NY)
NA
04/16/1985 - 02/23/1988
TUCKER, ANTHONY & R. L. DAY, INC.
NA
09/21/1983 - 04/05/1985
NEWHARD, COOK & CO. INCORPORATED
BC
Issued 04/11/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/17/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2000
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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