Stephen SharkeyCRD Number: 1953235
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Stephen Sharkey (CRD# 1953235) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Greensboro, NC and has over 29 years of experience in the finance industry.
Spartan Planning Group
Tarheel Advisors, LLC
Triad Financial Advisors, Inc.
|Bank Of America, N.a.||Greensboro, NC||Nov 2009 - Current||8|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Greensboro, NC||Oct 2009 - Current||8|
|Banc Of America Investment Services, Inc.||Greensboro, NC||Jan 1998 - Oct 2009||11|
|Banc Of America Insurance Services, Inc.||Greensboro, NC||Jan 1998 - Oct 2009||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 1989|
|S65||NASAA Investment Advisors Law Examination||Feb 1994|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management639,574MILLIONS
Total Number of Accounts1,831,494ACCOUNTS
Average Account Value$349,209
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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