Steven J. Buras
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.
Steven Joseph Buras was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 8 firms and has passed the Series 7, Series 22 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
February 14, 2000 - October 17, 2000
AMSOUTH INVESTMENT SERVICES, INC.
October 17, 1998 - February 14, 2000
INVEST FINANCIAL CORPORATION
November 16, 1993 - August 10, 1998
MARQUIS INVESTMENTS, L.L.C.
March 29, 1993 - June 2, 1993
MML INVESTORS SERVICES, LLC
March 28, 1990 - November 8, 1993
PRINCIPAL SECURITIES, INC.
August 9, 1982 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 9, 1982 - February 13, 1990
IDS LIFE INSURANCE COMPANY
August 9, 1982 - February 13, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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
AMSOUTH INVESTMENT SERVICES, INC.
CRD#: 15692 / SEC#: , 8-32565
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMSOUTH BANK | OWNER | |
| BAGBY, CANDICE WAGGENER | DIRECTOR | 2700657 |
| DANIEL, MICHAEL CURTIS | DIRECTOR | 4476150 |
| HALL, O B GRAYSON | DIRECTOR | 5059448 |
| MAYER, W CHARLES III | DIRECTOR | 2801550 |
| PARKS, KEVIN WILLIAM | PRESIDENT/CEO, CCO, FINOP, CFO | 2933659 |
| PIHERA, JIM A | DIRECTOR | 5070878 |
| SAAB, PETER THOMAS | SROP, CROP | 2058539 |
| STEPHENSON, ERNEST WINN JR | DIRECTOR | 2801549 |
| TWITTY, THOMAS BARTON | DIRECTOR | 4657089 |
Disclosures
| Regulatory Event | 8 |
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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