Stephen P. Sarpi

MANAGED ACCOUNT ADVISORS LLC

Jersey City, NJ 07302

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CRD#: 4360008

Professional summary

Stephen Paul Sarpi is a registered financial advisor currently at MANAGED ACCOUNT ADVISORS LLC located in Jersey City, New Jersey.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Stephen has worked at 6 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Sarpi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 8, 2013 - Present

MANAGED ACCOUNT ADVISORS LLC

Office #1: 101 Hudson Street, Jersey City, NJ 07302

RIA

CRD#: 142558

Jersey City, NJ

Past

August 10, 2007 - October 8, 2008

GH TRADERS LLC

CRD#: 36665

CHICAGO, IL

Past

January 10, 2005 - February 16, 2007

GH TRADERS LLC

CRD#: 36665

NEW YORK, NY

Past

March 3, 2003 - October 7, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162

BOLINGBROOK, IL

Past

April 25, 2002 - March 3, 2003

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

Past

March 5, 2002 - April 11, 2002

TRAUTMAN WASSERMAN & COMPANY, INC.

CRD#: 33007

NEW YORK, NY

Past

April 18, 2001 - October 26, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MANAGED ACCOUNT ADVISORS LLC

MANAGED ACCOUNT ADVISORS LLC | MANAGED ACCOUNT ADVISORS, LLC

CRD#: 142558 / SEC#: 801-67569

RIA

Registered Investment Advisory firm - (2/27/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/8/2013)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/7/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/17/2001

General Securities Representative Examination

Current Firm

MANAGED ACCOUNT ADVISORS LLC

MANAGED ACCOUNT ADVISORS LLC | MANAGED ACCOUNT ADVISORS, LLC

CRD#: 142558 / SEC#: 801-67569

RIA

Registered Investment Advisory firm - (2/27/2007 Approved)

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Contact information

Main Address

101 Hudson Street, Jersey City, NJ 07302

Mailing Address

150 N College St Nc1-028-28-04, Charlotte, NC 28255

Phone number

(201) 557-0504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MERRILL GUIDED INVESTING BROCHURE (11/14/2025)

MERRILL GUIDED INVESTING WITH ADVISOR BROCHURE (11/14/2025)

MAA MLPFS 2A FOR SELECT PORTFOLIO SOLUTIONS (3/21/2025)

MERRILL EDGE ADVISORY ACCOUNT BROCHURE (3/21/2025)

MERRILL LYNCH INVESTMENT ADVISORY PROGRAM BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	2,028,672
AUM (Assets Under Management)	$ 829,737,908,017

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.

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Firm Stability Insights

Stephen P. Sarpi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Paul Sarpi's CRS (Customer Relationship Summary).

Certified licenses

Experience

GH TRADERS LLC

GH TRADERS LLC

FIS BROKERAGE & SECURITIES SERVICES LLC

RUMSON CAPITAL, LLC

TRAUTMAN WASSERMAN & COMPANY, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

MANAGED ACCOUNT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/7/2013

Series 7

Date: 4/17/2001

Current Firm

MANAGED ACCOUNT ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MANAGED ACCOUNT ADVISORS LLC

TRUST BUT VERIFY

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