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Steven E Manger

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

Seattle, WACRD #2667088Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
12 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 12 states
AlaskaArizonaCaliforniaDelawareFloridaIdahoNew MexicoNew YorkOregonPennsylvaniaTexasWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/13/1998
Series 63
Uniform Securities Agent State Law Examination
Passed 10/13/1995
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/6/2011
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 10/13/1995

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
9/7/2012Seattle, WA
LPL FINANCIAL LLC
6/16/20118/31/2012Olympia, WA
HSBC SECURITIES (USA) INC.
2/10/20104/19/2011Seattle, WA
BANC OF AMERICA INVESTMENT SERVICES, INC.
7/1/19984/28/2009Seattle, 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. Steven E Manger 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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