Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Jon Pelleriti is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc.. Stephen has been in the financial industry since 1990 and has held several positions at various firms including Wells Fargo Securities, LLC, BANC OF AMERICA SECURITIES LLC and Fleet Securities, Inc.. Stephen holds Series 6, 7, 10, 24, 63, 66, 79TO and SIE licenses. Stephen offers various advisory services such as performance measurement reports, allocation modeling, IPS, research reports and services, selection of other advisers, portfolio management for businesses and portfolio management for individuals. Stephen is currently registered in 23 states including Arizona, California, Colorado, Connecticut, Florida, Indiana, Maine, Maryland, Massachusetts, Missouri, New Hampshire, New Jersey, New York, Ohio, Pennsylvania, Rhode Island, Texas, Vermont, Virginia and Wisconsin.
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
MA
05/01/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WELLESLEY HILLS MA)
MA
11/01/2012 - 08/06/2014
WELLS FARGO SECURITIES, LLC (BOSTON MA)
MA
09/16/2010 - 04/17/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BOSTON MA)
MA
06/29/2004 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (BOSTON MA)
TX
04/03/2001 - 06/29/2004
FLEET SECURITIES, INC. (DALLAS TX)
NY
01/02/2001 - 04/20/2001
QUICK & REILLY, INC. (NEW YORK NY)
TX
02/02/1998 - 01/02/2001
FLEET SECURITIES, INC. (DALLAS TX)
NY
07/13/1993 - 02/02/1998
FLEET SECURITIES INC. (NEW YORK NY)
CT
12/24/1991 - 07/09/1993
U.S. SECURITIES, INC. (HARTFORD CT)
NA
08/01/1990 - 11/01/1991
BNE CAPITAL MARKETS, INC.
NA
09/28/1989 - 10/17/1990
NEW ENGLAND DISCOUNT BROKERAGE, INC.
NA
05/14/1988 - 10/25/1988
SHEARSON LEHMAN HUTTON INC.
NA
07/29/1987 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
01/10/1984 - 05/14/1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BOTH
Issued 06/01/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/29/1989
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
BC
Issued 01/09/1984
Series 6 - Investment Company Products/Variable Contracts 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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