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Stephen Nathaniel Taft

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

Bethesda, MDCRD #1023336Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
45 yrs
States Registered
33 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 33 states
AlabamaArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaMaineMarylandMassachusettsMichiganMinnesotaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOregonPennsylvaniaSouth DakotaUtahVermontVirginiaWashingtonWest VirginiaWisconsin
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/7/1993
Series 63
Uniform Securities Agent State Law Examination
Passed 12/30/1981
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 5
Interest Rate Options Examination
Passed 1/26/1982
Series 7
General Securities Representative Examination
Passed 12/19/1981

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
2/16/1994Bethesda, MD

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. Stephen Nathaniel Taft 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.

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