Stephen L. Grant
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 Latimer Grant was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1982. Stephen had worked at 10 firms and has passed the Series 63, SIE 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
September 21, 2020 - November 23, 2021
THE LEADERS GROUP, INC.
May 30, 2017 - February 5, 2020
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 26, 2014 - December 7, 2016
JOHN HANCOCK DISTRIBUTORS LLC
November 5, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 5, 1996 - January 22, 2008
SIGNATOR INVESTORS, INC.
April 14, 1992 - January 24, 1996
METROPOLITAN LIFE INSURANCE COMPANY
April 14, 1992 - January 24, 1996
MSI FINANCIAL SERVICES, INC.
June 15, 1989 - August 7, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
June 15, 1989 - August 7, 1990
MONY SECURITIES CORPORATION
November 20, 1985 - November 19, 1988
PRINCIPAL SECURITIES, INC.
August 10, 1982 - November 18, 1985
METROPOLITAN LIFE INSURANCE COMPANY
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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