James S. Stephan
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.
James S Stephan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 7 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
August 26, 2010 - April 12, 2013
THE O.N. EQUITY SALES COMPANY
January 8, 2004 - August 28, 2008
ALLSTATE FINANCIAL SERVICES, LLC
May 3, 1999 - January 22, 2004
PARK AVENUE SECURITIES LLC
June 23, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
May 14, 1987 - July 26, 1995
ROBERT W. BAIRD & CO. INCORPORATED
June 13, 1985 - July 2, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 24, 1982 - August 4, 1995
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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