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STEPHEN M GROBECKER
STEPHEN MICHAEL GROBECKER
CRD#: 2662597
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CALIFORNIA ST
INVESTMENT SOLUTIONS GROUP
SAN FRANCISCO, CA 94104
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2010 (3 years)2 FIRMS2010 - Present (14 years)BFIDELITY INVESTMENTS INSTITUTI... (CRD# 17507)2004 - 2006 (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)1997 - 2004 (7 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2000 - 2006 (6 years)
License(s)

State Registrations

B
Alabama 7/21/2010

B
Montana 7/21/2010

B
Alaska 7/21/2010

B
Nebraska 7/21/2010

B
Arizona 7/21/2010

B
Nevada 7/21/2010

B
Arkansas 7/21/2010

B
New Hampshire 7/21/2010

B
California 7/7/2010

B
New Jersey 7/7/2010

IA
California 7/7/2010

B
New Mexico 7/21/2010

B
Colorado 7/21/2010

B
New York 7/7/2010

B
Connecticut 7/21/2010

B
North Carolina 7/21/2010

B
Delaware 7/21/2010

B
North Dakota 7/21/2010

B
District of Columbia 7/21/2010

B
Ohio 7/21/2010

B
Florida 7/21/2010

B
Oklahoma 7/21/2010

B
Georgia 7/21/2010

B
Oregon 7/21/2010

B
Hawaii 7/21/2010

B
Pennsylvania 7/21/2010

B
Idaho 7/21/2010

B
Rhode Island 7/21/2010

B
Illinois 7/21/2010

B
South Carolina 7/21/2010

B
Indiana 7/21/2010

B
South Dakota 7/21/2010

B
Iowa 7/21/2010

B
Tennessee 7/21/2010

B
Kansas 7/21/2010

B
Texas 7/21/2010

B
Kentucky 7/21/2010

IA
Texas 1/9/2013

B
Louisiana 7/21/2010

B
Utah 7/21/2010

B
Maine 7/21/2010

B
Vermont 7/21/2010

B
Maryland 7/21/2010

B
Virginia 7/21/2010

B
Massachusetts 7/21/2010

B
Washington 7/21/2010

B
Michigan 7/21/2010

B
West Virginia 7/21/2010

B
Minnesota 7/21/2010

B
Wisconsin 7/21/2010

B
Mississippi 7/21/2010

B
Wyoming 7/21/2010

B
Missouri 7/21/2010

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

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Learn about permitted activities of registered representatives

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)
555 CALIFORNIA ST INVESTMENT SOLUTIONS GROUP, SAN FRANCISCO, CA 94104
Registered with this firm since 7/7/2010

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CALIFORNIA ST INVESTMENT SOLUTIONS GROUP, SAN FRANCISCO, CA 94104
Registered with this firm since 7/7/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/08/2007 - 06/23/2010 STRATEGIC ADVISERS, INC. (CRD#:104555) SAN FRANCISCO, CA
B
05/21/2007 - 06/22/2010 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SAN FRANCISCO, CA
IA
01/17/2007 - 04/27/2007 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) BOSTON, MA
B
01/09/2007 - 04/27/2007 E*TRADE SECURITIES LLC (CRD#:29106) BOSTON, MA
IA
01/13/2000 - 12/18/2006 STRATEGIC ADVISERS, INC. (CRD#:104555) PROVIDENCE, RI
B
07/27/2004 - 12/18/2006 FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CRD#:17507) SMITHFIELD, RI
B
01/01/1997 - 07/27/2004 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
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B
Broker
IA
Investment Adviser
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.