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Stephen R Stanley

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Stephen R Stanley

Stephen Stanley is a financial advisor who has been in the industry since 2010. Stephen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Arkansas and Texas. He is also registered with the states of Alabama, California, Colorado, Georgia, Louisiana, Mississippi, Ohio, Tennessee, Virginia, and Washington. Stephen is a Series 7 and Series 66 licensed professional. Stephen has previously been affiliated with J.P. MORGAN SECURITIES LLC, CHARLES SCHWAB & CO., INC., TD AMERITRADE, INC., MORGAN STANLEY, and EDWARD JONES.

Firm Information

Stephen Stanley is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephen Stanley’s Registration & Firm History

AR

10/31/2022 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (LITTLE ROCK AR)

AR

04/22/2021 - 11/01/2022

J.P. MORGAN SECURITIES LLC (Little Rock AR)

AR

07/13/2019 - 04/13/2021

CHARLES SCHWAB & CO., INC. (Little Rock AR)

AR

01/02/2019 - 06/25/2019

TD AMERITRADE, INC. (LITTLE ROCK AR)

AR

06/22/2011 - 12/18/2018

MORGAN STANLEY (LITTLE ROCK AR)

AR

12/01/2009 - 06/23/2011

EDWARD JONES (LITTLE ROCK AR)

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Licenses & Designations

BOTH

Issued 12/10/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/30/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There is public disclosure for Stephen R Stanley. Review regulatory record here.
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