Stephen P. Hatton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen P Hatton, CFP®, who also goes by Stephen Patrick Hayes Hatton, Stephen Hatton, Stephen P. Hatton, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2013 - December 22, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2013 - December 22, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 28, 2003 - July 15, 2013
PGIM INVESTMENTS LLC
October 2, 2003 - July 15, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 4, 2002 - July 2, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 1, 1997 - January 24, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 23, 1994 - January 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
June 23, 1988 - May 10, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 1988 - June 15, 1988
MORGAN STANLEY DW INC.
March 11, 1988 - June 2, 1988
GLICKENHAUS & CO. - NEW JERSEY
August 13, 1986 - February 23, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 13, 1986 - February 24, 1988
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
