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Sheldon Shane Stephen

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Lynnwood, WACRD #5910494Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
10 yrs
States Registered
6 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 6 states
AlaskaFloridaIdahoOregonTexasWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 1/11/2019
Series 63
Uniform Securities Agent State Law Examination
Passed 5/25/2011
Series 7
General Securities Representative Examination
Passed 12/4/2018
SIE
Securities Industry Essentials Examination
Passed 11/7/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/6/2011

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
1/30/2019Lynnwood, WA
J.P. MORGAN SECURITIES LLC
10/1/201212/31/2013Seattle, WA
CHASE INVESTMENT SERVICES CORP.
5/9/201110/1/2012Seattle, WA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Sheldon Shane Stephen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Sheldon Shane Stephen - Financial Advisor in Lynnwood, WA | AdvisorFinder