Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Fazio is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen Fazio is also registered in Texas and South Carolina as an Investment Advisor Representative. Stephen Fazio has been in the financial services industry since 2018. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Stephen Fazio was with WELLS FARGO CLEARING SERVICES, LLC and NYLIFE SECURITIES LLC. Stephen Fazio holds the Series 63, Series 65, and Series 7TO licenses.
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
SC
08/21/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MOUNT PLEASANT SC)
SC
10/21/2022 - 07/11/2024
WELLS FARGO CLEARING SERVICES, LLC (MOUNT PLEASANT SC)
SC
12/17/2018 - 04/21/2021
NYLIFE SECURITIES LLC (CHARLESTON SC)
IA
Issued 10/28/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/25/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/30/2022
Series 7TO - General Securities Representative Examination
BC
Issued 12/17/2018
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/11/2018
SIE - Securities Industry Essentials 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
Not sure Stephen Fazio is the right advisor for you? Invested Better is here to help.
