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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

STEPHEN LACKO

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEWPORT BEACH, CA | CHICAGO, IL | Chicago, IL

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Search this name across graphsid dfx:ria:f367894a-b9dd-b8b3-6b74-8f4b0cb804a1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 20, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jan 20, 1997
First registration: Jan 3, 2005
Dual registered: yes, broker-dealer
Other names: STEVE LACKO|STEPHEN SCOTT LACKO|Stephen Lacko
IAPD individual key: 2785475

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 30, 2025	n/a	yes	Chicago, IL\|NEWPORT BEACH, CA\|CHICAGO, IL	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 28, 2022	Jan 24, 2025	no	Chicago, IL\|WEEHAWKEN, NJ\|Chicago, IL	Previous registration
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Aug 13, 2019	Aug 6, 2021	no	BEACHWOOD, OH	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 13, 2009	Jul 31, 2019	no	CLEVELAND, OH\|SHEFFIELD, OH\|CLEVELAND, OH	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Aug 7, 2007	Nov 13, 2009	no	CLEVELAND, OH\|CLEVELAND, OH	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 9, 2007	Aug 24, 2007	no	WEEHAWKEN, NJ	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	Jun 27, 2005	Feb 9, 2007	no	CLEVELAND, OH\|CLEVELAND, OH	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 3, 2005	May 3, 2005	no	CLEVELAND, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jan 24, 2025	Jan 30, 2025	6	Firm change	Wirehouse to wirehouse
STRATOS WEALTH PARTNERS, LTD	UBS FINANCIAL SERVICES INC.	Aug 6, 2021	Nov 28, 2022	479	Firm change after gap	Ibd to wirehouse
PNC WEALTH MANAGEMENT	STRATOS WEALTH PARTNERS, LTD	Jul 31, 2019	Aug 13, 2019	13	Firm change	Ibd to RIA
NATCITY INVESTMENTS, INC.	PNC WEALTH MANAGEMENT	Nov 13, 2009	Nov 13, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	NATCITY INVESTMENTS, INC.	Aug 24, 2007	Aug 7, 2007	-17	Firm change	Other
KEYBANC CAPITAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Feb 9, 2007	Feb 9, 2007	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	KEYBANC CAPITAL MARKETS INC.	May 3, 2005	Jun 27, 2005	55	Firm change	Other

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 3, 2005 to May 3, 2005factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 28, 2022 to Jan 24, 2025factForm ADV
→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: previous registration
Aug 13, 2019 to Aug 6, 2021factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 13, 2009 to Jul 31, 2019factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Aug 7, 2007 to Nov 13, 2009factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
Jun 27, 2005 to Feb 9, 2007factForm ADV

Dated events

Occurred
Jan 24, 2025
Advisor changed firm
Stephen Lacko left Ubs Financial Services Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-01-30)
Form ADVobserved 6 days ago