Stephen Applebaum
Stephen Applebaum is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Beverly Hills, CA, with 24 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
9560 Wilshire Blvd, Beverly Hills, CA, 90212
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Regulatory History (3)
Customer Dispute
March 2008Customer Dispute
April 2002Criminal
February 1999Other Business Activities
Stephen is a committee member for the Men's Guild of Children's Hospital Los Angeles, a charitable organization. He spends minimal time on this activity.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
State Registrations53 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.