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STEPHEN WILEN ROBERTS
CRD#: 4443720
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 CAPITOL ST
HOUSTON, TX 77002
Registration History
2002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2002 - Present (23 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2001 - Present (23 years)
License(s)

State Registrations

B
Arizona 1/23/2004

B
Missouri 1/23/2004

B
Arkansas 4/14/2009

B
New Jersey 6/11/2020

B
California 4/11/2002

B
New York 4/11/2002

B
Colorado 4/11/2002

B
North Carolina 4/12/2002

B
Delaware 12/26/2019

B
Ohio 4/13/2015

B
Florida 4/11/2002

B
Oklahoma 6/26/2006

B
Georgia 4/11/2002

B
Pennsylvania 11/4/2019

B
Illinois 9/7/2010

B
South Carolina 1/23/2004

B
Indiana 6/14/2011

B
Tennessee 1/23/2004

B
Iowa 10/15/2015

B
Texas 1/1/2002

B
Kentucky 2/17/2016

IA
Texas 1/1/2002

B
Louisiana 4/12/2002

B
Utah 2/6/2009

B
Maryland 3/17/2021

B
Virginia 4/4/2003

B
Michigan 2/7/2024

B
Washington 4/11/2002

B
Minnesota 3/5/2013

B
Wisconsin 1/23/2004

B
Mississippi 10/28/2010

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

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)
800 CAPITOL ST, HOUSTON, TX 77002
Katy, TX
Registered with this firm since 1/1/2002

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 CAPITOL ST, HOUSTON, TX 77002
Katy, TX
Registered with this firm since 11/19/2001

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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.