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Stephen James Fazio
STEPHEN J FAZIO, Stephen Fazio
CRD#: 7042131
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 75 PORT CITY LNDG
MOUNT PLEASANT, SC 29464
MOUNT PLEASANT, SC 29464
0
Disclosures
4
Years of Experience
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State Registrations
B
Florida 8/14/2024
IA
South Carolina 8/13/2024
B
Georgia 8/14/2024
B
Tennessee 8/14/2024
B
North Carolina 8/14/2024
B
Texas 8/14/2024
B
South Carolina 8/13/2024
IA
Texas 8/21/2024
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 8/13/2024
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Registered with this firm since 8/13/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/28/2022 - 07/11/2024 | MOUNT PLEASANT, SC | |
B | 10/21/2022 - 07/11/2024 | MOUNT PLEASANT, SC | |
B | 12/17/2018 - 04/21/2021 | CHARLESTON, SC |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.