Stephen C. Hansen
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 Christopher Hansen, who also goes by Stephen Christopher Hansen, Steven Hansen, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2019 - June 13, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 2018 - February 11, 2019
PRUCO SECURITIES, LLC.
December 2, 2003 - December 31, 2004
HANSEN SECURITIES AND FINANCIAL ADVISORS, INC
April 3, 1997 - April 25, 1997
TRADEPORTAL SECURITIES, INC.
November 22, 1996 - April 21, 1997
AGS FINANCIAL SERVICES, INC.
April 18, 1996 - April 29, 1996
SCHONFELD SECURITIES, LLC
August 9, 1995 - September 22, 1995
WELLS FARGO CLEARING SERVICES, LLC
December 19, 1994 - March 3, 1995
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
January 12, 1994 - May 9, 1994
CIBC WORLD MARKETS CORP.
August 14, 1993 - September 17, 1993
RODMAN & RENSHAW INC.
December 15, 1992 - January 20, 1993
H.J. MEYERS & CO., INC.
June 17, 1992 - January 7, 1993
TAMARON INVESTMENTS, INC.
January 13, 1992 - June 18, 1992
J. W. GANT & ASSOCIATES, INC.
May 22, 1991 - August 20, 1991
BARING & BROWN, INC.
May 22, 1991 - November 6, 1991
CHATFIELD DEAN & CO., INC.
December 19, 1990 - January 9, 1991
CHATFIELD DEAN & CO., INC.
December 10, 1990 - January 28, 1991
H.J. MEYERS & CO., INC.
September 20, 1990 - November 1, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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 |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
