Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen J. MacKen is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen is a securities professional with over 20 years of experience in the industry. Stephen has been registered with the Financial Industry Regulatory Authority (FINRA) since June 26, 2000. Stephen has a Series 7, Series 63, and Series 66 license. In addition, Stephen has been registered with the State of New Jersey since February 17, 2021, and the State of Texas since February 16, 2021. Stephen also holds registrations in the state of New York and previously held registrations with HSBC Securities (USA) Inc., CHASE INVESTMENT SERVICES CORP., and TD WATERHOUSE INVESTOR SERVICES, INC. Stephen has worked at HSBC BANK USA, HSBC BANK USA, N.A., HSBC Securities (USA) Inc., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and BANK OF AMERICA, N.A.
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
NY
02/16/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
04/22/2008 - 02/19/2021
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
04/28/2003 - 04/09/2008
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NE
06/27/2000 - 04/04/2003
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 10/17/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/23/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2000
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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