Stephen J. Klos
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 Joseph Klos, who also goes by Steve Klos, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 2 firms and has passed the Series 63, Series 7, Series 22 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
April 20, 1988 - December 18, 1989
CRAIG & ASSOCIATES, INC.
May 27, 1982 - June 17, 1982
SYMON GROUP, LTD.
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
CRAIG & ASSOCIATES, INC.
CRD#: 10646 / SEC#: , 8-32233
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CRAIG, GARY LYNN | PRESIDENT CRAIG & ASSOCIATES, GENERAL MEMBER BUERK CRAIG VICTOR LLC, CHIEF COMPLIANCE OFFICER, AML CONTACT | 874487 |
Disclosures
| Regulatory Event | 2 |
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.
