Steven W. Monroe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven William Monroe, who also goes by Steve Monroe, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2000 - December 11, 2001
STIPEK SECURITIES, LLC
September 29, 1998 - May 31, 2000
LIGHTHOUSE CAPITAL CORPORATION
May 8, 1995 - September 28, 1998
WOODBURY FINANCIAL SERVICES, INC.
October 15, 1993 - May 10, 1995
VOYA FINANCIAL ADVISORS, INC.
June 11, 1993 - November 9, 1993
SENTRA SECURITIES CORPORATION
May 6, 1993 - August 11, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STIPEK SECURITIES, LLC
CRD#: 100940 / SEC#: , 8-52046
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIPEK, LESLIE CLARK | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 1200931 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
