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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 Grobecker is a financial advisor who has been in the industry since 1997. Stephen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 2010. Prior to joining Merrill Lynch, Stephen worked at Fidelity Brokerage Services LLC and E*TRADE SECURITIES LLC. Stephen is registered to provide investment advice in 53 states and has passed the Series 7, Series 9, Series 10, Series 63 and Series 65 exams. Stephen's specializations include securities, insurance, mutual funds, variable annuities, and retirement planning. Stephen's firm, Merrill Lynch, Pierce, Fenner & Smith Inc., manages over $1 trillion in assets and serves a wide range of clients, including high-net-worth individuals, corporations, and institutions. Stephen's focus is on providing personalized investment advice and financial planning services to help clients achieve their financial goals.
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
CA
01/09/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
05/21/2007 - 06/22/2010
FIDELITY BROKERAGE SERVICES LLC (SAN FRANCISCO CA)
MA
01/09/2007 - 04/27/2007
E*TRADE SECURITIES LLC (BOSTON MA)
RI
07/27/2004 - 12/18/2006
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
RI
01/01/1997 - 07/27/2004
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
IA
Issued 11/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/21/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/28/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/24/1996
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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