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Stephen Jon Pelleriti

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

Wellesley Hills, MACRD #1202950Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
36 yrs
States Registered
4 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
ConnecticutFloridaMassachusettsNew Hampshire
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 6/1/2016
Series 63
Uniform Securities Agent State Law Examination
Passed 8/7/1987
Series 79
Investment Banking Registered Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/18/1987
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/9/1984
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 24
General Securities Principal Examination
Passed 12/29/1989

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
6/3/2016Wellesley Hills, MA
WELLS FARGO SECURITIES, LLC
11/1/20128/6/2014Boston, MA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
9/16/20104/17/2012Boston, MA
BANC OF AMERICA SECURITIES LLC
6/29/200411/1/2010Boston, MA
FLEET SECURITIES, INC.
4/3/20016/29/2004Dallas, TX
QUICK & REILLY, INC.
1/2/20014/20/2001New York, NY
FLEET SECURITIES, INC.
2/2/19981/2/2001Dallas, TX
FLEET SECURITIES INC.
7/13/19932/2/1998New York, NY
U.S. SECURITIES, INC.
12/24/19917/9/1993Hartford, CT
BNE CAPITAL MARKETS, INC.
8/1/199011/1/1991
NEW ENGLAND DISCOUNT BROKERAGE, INC.
9/28/198910/17/1990
SHEARSON LEHMAN HUTTON INC.
5/14/198810/25/1988
E. F. HUTTON & COMPANY INC
7/29/19875/14/1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
1/10/19845/14/1984

Official records & sources

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

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