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Detailed Report
WILLIAM STEPHEN PICKERING
CRD#: 1233918
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 400 S RAMPART BLVD
LAS VEGAS, NV 89145
Registration History
198519901995200020052010201520202025IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - Present (25 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - Present (25 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1984 - 1998 (14 years)
Disclosure(s)
View By:
7/18/2012
Customer Dispute
Denied
11/1/1998
Employment Separation After Allegations
License(s)

State Registrations

B
Alabama 6/18/2024
B
Nebraska 2/24/2017
B
Alaska 1/19/2006
B
Nevada 10/18/1999
B
Arizona 10/26/2017
IA
Nevada 1/3/2000
B
Arkansas 11/2/2022
B
New Hampshire 9/6/2022
B
California 9/21/1999
B
New Jersey 6/29/2016
B
Colorado 2/1/2022
B
New York 3/23/2015
B
Connecticut 10/18/1999
B
North Carolina 8/31/2016
B
Florida 5/30/2002
B
North Dakota 3/20/2023
B
Georgia 7/5/2022
B
Ohio 7/16/2018
B
Hawaii 12/5/2024
B
Oklahoma 2/18/2010
B
Idaho 4/2/2020
B
Oregon 6/15/2007
B
Illinois 12/21/1999
B
Pennsylvania 8/2/2023
B
Indiana 7/3/2019
B
Puerto Rico 1/17/2017
B
Iowa 8/21/2023
B
Tennessee 9/4/2020
B
Kansas 4/23/2018
B
Texas 7/19/2000
B
Kentucky 2/16/2007
IA
Texas 7/19/2000
B
Massachusetts 9/27/1999
B
Utah 1/16/2003
B
Michigan 11/28/2017
B
Virginia 5/8/2014
B
Mississippi 2/16/2011
B
Washington 12/6/2017
B
Missouri 4/5/2018
B
Wyoming 7/6/2022
B
Montana 6/8/2016

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
400 S RAMPART BLVD, LAS VEGAS, NV 89145
Registered with this firm since 1/3/2000
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
400 S RAMPART BLVD, LAS VEGAS, NV 89145
Registered with this firm since 9/20/1999
Previous Registration(s)
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B
 01/25/1984 - 12/16/1998 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.