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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Mangum is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has been working in the industry since 2003 and has held Series 7, 9, 10, 31, and 66 licenses. Stephen is registered in 47 states and holds 7 approved SRO registrations. Stephen's firm, Merrill Lynch, Pierce, Fenner & Smith Inc., is a registered investment advisor with more than $1 trillion in assets under management. The firm offers a variety of services to clients, including portfolio management, financial planning, and educational seminars. Stephen focuses on providing services for individuals, businesses, corporations, high net worth individuals, charitable organizations, pension and profit-sharing plans, insurance companies, banking or thrift institutions, and state or municipal government entities.
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
10/28/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (COLUMBUS OH)
NJ
02/17/2003 - 10/15/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 03/08/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/03/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/17/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/2015
Series 31 - Futures Managed Funds Examination
BC
Issued 02/14/2003
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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