Stephen O'grady
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 O'grady, who also goes by Stephen Thomas O'grady, Stephen Thomas Ogrady, Stephen Ogrady, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1977. Stephen had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 27, 2014 - May 7, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 2014 - May 7, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 9, 2010 - December 19, 2012
CONSTELLATION WEALTH ADVISORS LLC
March 6, 2007 - November 25, 2009
CONSTELLATION WEALTH ADVISORS LLC
January 9, 2007 - March 2, 2007
A. G. EDWARDS & SONS, INC.
November 24, 1987 - May 6, 2005
CITIGROUP GLOBAL MARKETS INC.
December 11, 1985 - August 28, 1987
DISCOUNT CORPORATION OF NEW YORK MUNICIPALS
September 30, 1982 - July 19, 1985
PERSHING LLC
May 10, 1982 - November 23, 1982
W.H. MELL, MUNICIPALS, INC.
August 2, 1977 - April 7, 1982
MABON, NUGENT & CO.
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.
