Stephen H. Pouns
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 Harold Pouns was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 7, Series 2 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
January 23, 2017 - December 21, 2017
HAMILTON CLARK SUSTAINABLE CAPITAL, INC.
October 19, 2015 - January 6, 2017
WOODROCK SECURITIES, L.P.
February 3, 2012 - September 25, 2015
GALWAY CAPITAL, L.P.
June 26, 2006 - March 5, 2010
SANDERS MORRIS LLC
August 21, 2003 - February 28, 2011
POOL CAPITAL PARTNERS
April 24, 2003 - December 31, 2006
SMH CAPITAL ADVISORS LLC
August 7, 2000 - April 16, 2003
ROGER H. JENSWOLD & CO., INC.
June 28, 1982 - July 5, 1985
INVESCO DISTRIBUTORS, 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
Series 2
Date: 9/4/1992
Non-Member General Securities ExaminationCurrent Firm
HAMILTON CLARK SUSTAINABLE CAPITAL, INC.
CRD#: 26010 / SEC#: , 8-42236
Contact information
FINRA licenses (15 States and Territories)
Documents
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.
