Stephen D. Gisclair
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.
Stephen Derby Gisclair was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1982. Stephen had worked at 7 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2006 - September 21, 2010
PURSHE KAPLAN STERLING INVESTMENTS
September 19, 2002 - December 11, 2003
PAN-AMERICAN INVESTMENT ADVISERS, INC.
September 4, 2002 - November 30, 2005
PAN-AMERICAN FINANCIAL ADVISERS
October 17, 1990 - September 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 17, 1990 - September 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
May 22, 1989 - October 23, 1990
CITIGROUP GLOBAL MARKETS INC.
October 1, 1984 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
March 30, 1982 - September 30, 1984
UBS FINANCIAL SERVICES INC.
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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