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Stephen Randolph Gretz

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Information

Other Names: Randy Gretz, Stephen R Gretz
Firm:
Type: Dual Registration
Description

Stephen Gretz is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 31,800 registered representatives nationwide. Stephen has held an industry securities registration for 13 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 36 years Sep 1978 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 04/23/1999
Uniform Securities Agent State Law ExaminationSeries 63 09/16/1997

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Stephen Randolph Gretz has not answered any questions on Financial Q&A.

Top Guides

Stephen Randolph Gretz has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
03/05/2013
03/20/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions