Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Richer is an investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Stephen has been in the securities industry for over 20 years. Stephen is currently registered with the state of Missouri and Texas and holds both Series 66 and Series 63 licenses. Stephen’s previous experience includes working at NYLIFE Distributors LLC, Lincoln Financial Distributors, Inc., MML Distributors, LLC, and Hartford Securities Distribution Company, Inc. Stephen is also a licensed principal with Series 26 credentials and has extensive experience with investment company products and variable contracts. Stephen's firm, Merrill Lynch, Pierce, Fenner & Smith Inc., provides a variety of financial services including portfolio management, investment advisory services, and financial planning. They also offer a variety of investment products including stocks, bonds, mutual funds, and exchange-traded funds.
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
MO
08/19/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Frontenac MO)
NJ
02/11/2019 - 03/16/2020
NYLIFE DISTRIBUTORS LLC (JERSEY CITY NJ)
PA
05/12/2016 - 02/22/2019
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
MA
01/02/2013 - 05/12/2016
MML DISTRIBUTORS, LLC (SPRINGFIELD MA)
TX
01/01/2009 - 01/02/2013
HARTFORD SECURITIES DISTRIBUTION COMPANY, INC. (NORTH RICHLAND HILLS TX)
TX
11/15/2007 - 01/01/2009
HARTFORD EQUITY SALES COMPANY INC. (NORTH RICHLAND HILLS TX)
MO
12/05/2000 - 10/10/2007
GWFS EQUITIES, INC. (ST. LOUIS MO)
BOTH
Issued 08/04/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/25/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 06/27/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2000
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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