Stephen C. Ewing
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 Carlsen Ewing was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2018 - December 20, 2019
TERRANOVA CAPITAL EQUITIES, INC
February 19, 2013 - February 28, 2017
ACADEMY SECURITIES, INC.
July 12, 2010 - February 15, 2013
MARATHON CAPITAL MARKETS, LLC
June 17, 2008 - March 18, 2009
DAWSON JAMES SECURITIES, INC.
June 19, 2007 - July 11, 2008
WESTMINSTER SECURITIES CORPORATION
July 27, 2004 - September 23, 2005
TERRANOVA CAPITAL EQUITIES, INC
October 7, 2002 - July 21, 2003
CHESAPEAKE SECURITIES RESEARCH CORPORATION
August 2, 1999 - March 8, 2001
ADIRONDACK CAPITAL PARTNERS, INC.
March 1, 1997 - February 17, 1999
TRAUTMAN WASSERMAN & COMPANY, INC.
March 6, 1996 - October 30, 1996
KC MAY SECURITIES CORP.
September 3, 1994 - January 9, 1995
BARINGTON CAPITAL GROUP, L.P.
March 28, 1994 - May 25, 1994
TRIUMPH SECURITIES CORPORATION
October 8, 1992 - December 7, 1993
DOMINARI SECURITIES LLC
November 8, 1983 - November 14, 1984
BEVILL, BRESLER & SCHULMAN INCORPORATED
June 21, 1982 - January 24, 1983
NRM CORPORATION
June 11, 1982 - May 26, 1992
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
