Stephen W. Wescott
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 Walter Wescott, who also goes by Stephen Walter Westcott, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 8 firms and has passed the Series 65, Series 63, Series 7 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
March 13, 2007 - December 31, 2019
STERLING FINANCIAL PLANNING INC
March 21, 2003 - September 8, 2006
NATIONAL PLANNING CORPORATION
December 1, 1999 - December 31, 2007
NATIONAL PLANNING CORPORATION
February 6, 1996 - December 1, 1999
SUNAMERICA SECURITIES, INC.
August 18, 1987 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
August 18, 1987 - February 6, 1996
MONY SECURITIES CORPORATION
March 25, 1986 - September 1, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
September 3, 1985 - April 1, 1986
GUARDIAN INVESTOR SERVICES LLC
January 23, 1985 - August 26, 1985
MOORE & SCHLEY/MEEKER SHARKEY GROUP INC.
October 12, 1983 - December 5, 1984
GUARDIAN INVESTOR SERVICES LLC
Primary Firm SEC Registration
STERLING FINANCIAL PLANNING INC
CRD#: 108664 / SEC#: 801-56025
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
STERLING FINANCIAL PLANNING INC
CRD#: 108664 / SEC#: 801-56025
Contact information
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,602 |
| AUM (Assets Under Management) | $ 671,921,507 |
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.
