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STEPHEN F NOFS
CRD#: 4204057
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 45000 RIVER RIDGE DR
CLINTON TOWNSHIP, MI 48038
Registration History
20002002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2010 - Present (14 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - Present (24 years)
Disclosure(s)
View By:
9/22/2011
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 4/15/2010

IA
Michigan 9/28/2010

B
California 8/2/2022

B
New Hampshire 5/23/2022

B
Colorado 5/31/2007

B
New Jersey 6/28/2022

B
Delaware 6/25/2010

B
North Carolina 6/25/2010

B
District of Columbia 5/1/2017

B
Ohio 4/25/2001

B
Florida 5/17/2001

B
Oregon 8/21/2023

B
Georgia 3/26/2007

B
South Carolina 1/5/2005

B
Illinois 4/27/2010

B
Texas 10/11/2022

B
Louisiana 5/1/2015

IA
Texas 10/11/2022

B
Maryland 8/2/2022

B
Virginia 6/25/2010

B
Massachusetts 5/1/2017

B
Wisconsin 6/25/2010

B
Michigan 1/16/2001

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

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)
45000 RIVER RIDGE DR, CLINTON TOWNSHIP, MI 48038
Registered with this firm since 9/28/2010

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
45000 RIVER RIDGE DR, CLINTON TOWNSHIP, MI 48038
Registered with this firm since 12/7/2000

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B
Broker
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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.