Individual Firm
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STEPHEN BORIS KATSARELIS
CRD#: 3178174
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 101 E KENNEDY BLVD
TAMPA, FL 33602
TAMPA, FL 33602
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6/9/2009
Customer Dispute
Settled
State Registrations
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Alabama 11/22/2021
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Minnesota 9/25/2017
B
Arizona 5/1/2018
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Missouri 5/4/2022
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Arkansas 4/13/2015
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New Jersey 10/23/2009
B
California 12/7/2010
B
New Mexico 11/8/2023
B
Colorado 1/21/2015
B
New York 3/29/2012
B
Florida 10/23/2009
B
North Carolina 5/18/2015
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Florida 10/23/2009
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Ohio 7/5/2016
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Georgia 10/23/2009
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Oregon 5/16/2023
B
Illinois 8/8/2012
B
South Carolina 7/6/2016
B
Indiana 2/26/2019
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South Dakota 4/9/2024
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Louisiana 10/7/2013
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Tennessee 5/12/2023
B
Maine 8/11/2023
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Texas 1/5/2013
B
Maryland 7/8/2016
B
Texas 1/11/2013
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Massachusetts 2/12/2010
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Virginia 8/24/2022
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Michigan 4/27/2018
SRO Registrations
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Registered with this firm since 10/23/2009
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Registered with this firm since 10/23/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/09/2001 - 10/23/2009 | TAMPA, FL | |
B | 03/02/2001 - 10/23/2009 | TAMPA, FL | |
B | 04/01/1999 - 01/30/2001 | NEW YORK, NY |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.