David L. Stephenson
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.
David Lloyd Stephenson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2012 - December 31, 2012
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
August 9, 2002 - June 27, 2011
INTERMOUNTAIN FINANCIAL SERVICES, INC.
January 21, 1997 - August 9, 2002
ROUND HILL SECURITIES, INC.
March 8, 1996 - December 31, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 1, 1995 - March 6, 1996
INTERMOUNTAIN FINANCIAL SERVICES, INC.
March 8, 1989 - April 1, 1995
RICHARDS INVESTMENTS
December 21, 1987 - June 6, 1989
SHULMAN & CO., INC.
February 24, 1987 - December 21, 1987
FORTRESS FINANCIAL AND PENSION SERVICES INC.
March 20, 1985 - May 20, 1985
COVEY & CO., INC.
April 29, 1982 - September 14, 1984
EDWARD JONES
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
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
CRD#: 130390 / SEC#: , 8-66335
Contact information
FINRA licenses (17 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RETHINK, LLC | OWNER | |
| ATKINS, BRADLEY DALE | OWNER | 2963790 |
| SHANAHAN, DANIEL JAMES | CHIEF EXECUTIVE OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | PRINCIPAL OPERATIONS OFFICER | 3277912 |
| SHANAHAN, DANIEL JAMES | CHIEF COMPLIANCE OFFICER | 3277912 |
| WOODWARD, CASSANDRA TALEEN | CHIEF FINANCIAL OFFICER | 2956369 |
| WOODWARD, CASSANDRA TALEEN | PRINCIPAL FINANCIAL OFFICER & FINOP | 2956369 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
