Stephen B. Carlson
Professional summary
Stephen Bruce Carlson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Stephen had worked at 3 firms, which includes ASPEN CAPITAL GROUP INCORPORATED, COUGHLIN & COMPANY INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 1985 - December 22, 1995
ASPEN CAPITAL GROUP, INCORPORATED
March 15, 1985 - April 2, 1985
COUGHLIN & COMPANY, INC.
September 23, 1981 - September 1, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 3/30/1982
Interest Rate Options ExaminationSeries 28
Date: 1/16/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ASPEN CAPITAL GROUP, INCORPORATED
CRD#: 16179 / SEC#: , 8-34388
Contact information
Documents
Red Flags
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