Steele V. Stephens

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CRD#: 1081772

Professional summary

Steele Vincent Stephens was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steele is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Steele had worked at 14 firms, which includes ST. BERNARD FINANCIAL SERVICES INC., APPLE TREE INVESTMENTS INC., MIDAMERICA FINANCIAL SERVICES INC., WORLD SECURITIES INC., CAMBRIDGE INVESTMENT RESEARCH INC., SUNPOINT SECURITIES INC., CENTURY FINANCIAL SECURITIES INC., ANGLO-AMERICAN INVESTOR SERVICES CORP., VINING-SPARKS SECURITIES INC., ALLEGIS FINANCIAL INVESTMENT CORPORATION, FIRST UNITED SECURITIES GROUP OF CALIFORNIA, U.S. ASSOCIATES INC., SWINK & COMPANY INC., L.A. BOYKIN & ASSOCIATES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 24, 2009 - May 21, 2013

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956

RUSSELLVILLE, AR

Past

May 14, 2008 - May 12, 2009

APPLE TREE INVESTMENTS, INC.

CRD#: 144444

LITTLE ROCK, AR

Past

April 22, 2002 - November 1, 2006

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

JOPLIN, MO

Past

June 28, 2000 - August 31, 2001

WORLD SECURITIES, INC.

CRD#: 39431

JOPLIN, MO

Past

June 18, 1998 - July 17, 1998

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

June 13, 1991 - September 11, 1996

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

August 14, 1989 - December 5, 1989

CENTURY FINANCIAL SECURITIES, INC.

CRD#: 15280

Past

July 11, 1988 - September 7, 1988

ANGLO-AMERICAN INVESTOR SERVICES CORP.

CRD#: 14278

Past

May 18, 1988 - June 7, 1988

VINING-SPARKS SECURITIES, INC.

CRD#: 10073

Past

February 19, 1988 - June 21, 1988

ALLEGIS FINANCIAL INVESTMENT CORPORATION

CRD#: 16435

Past

September 16, 1987 - September 28, 1987

FIRST UNITED SECURITIES GROUP OF CALIFORNIA

CRD#: 10619

Past

October 31, 1986 - July 21, 1987

U.S. ASSOCIATES, INC.

CRD#: 13511

Past

January 3, 1986 - March 24, 1986

SWINK & COMPANY, INC.

CRD#: 7111

Past

August 9, 1985 - September 4, 1985

L.A. BOYKIN & ASSOCIATES, INC.

CRD#: 15668

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/2/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/23/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 6/12/1985

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 2/9/1996

NFA Branch Manager Examination

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

CRD#: 36956 / SEC#: 801-113763, 8-47566

RIA

Registered Investment Advisory firm - SEC (7/31/2018 Approved)

Arkansas

Registered Investment Advisory firm - SEC (11/1/2018 Terminated)

Connecticut

Registered Investment Advisory firm - SEC (8/21/2018 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/31/2018 Terminated)

Indiana

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Missouri

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

New York

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (8/3/2018 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Virginia

Registered Investment Advisory firm - SEC (8/2/2018 Terminated)

Washington

Registered Investment Advisory firm - SEC (8/9/2018 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1609 West Main St., Russellville, AR 72801

Mailing Address

1609 West Main St., Russellville, AR 72801

Phone number

(479) 967-1200

Established

Arkansas since 03/24/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

109

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PT 2 02-01-2024 (1/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ROBERT KEENAN REVOCABLE TRUST	OWNER
CELI, MARK EDWARD	OPTIONS PRINCIPAL	1676074
DYER, SHARON JANE	ASSISTANT FINOP AND MUNI PRINCIPAL	1456415
KEENAN, ROBERT JR	CEO, CCO, TRUSTEE OF ROBERT KEENAN TRUST	2000976

Regulatory assets under management

Total Number of Accounts	841
AUM (Assets Under Management)	$ 130,472,570

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Steele V. Stephens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APPLE TREE INVESTMENTS, INC.

MIDAMERICA FINANCIAL SERVICES, INC.

WORLD SECURITIES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SUNPOINT SECURITIES, INC.

CENTURY FINANCIAL SECURITIES, INC.

ANGLO-AMERICAN INVESTOR SERVICES CORP.

VINING-SPARKS SECURITIES, INC.

ALLEGIS FINANCIAL INVESTMENT CORPORATION

FIRST UNITED SECURITIES GROUP OF CALIFORNIA

U.S. ASSOCIATES, INC.

SWINK & COMPANY, INC.

L.A. BOYKIN & ASSOCIATES, INC.

Primary Firm SEC Registration

ST. BERNARD FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/2/1985

Series 3

Date: 5/23/1991

Series 7

Date: 5/17/1986

Series 52

Date: 6/12/1985

Series 30

Date: 2/9/1996

Current Firm

ST. BERNARD FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (40 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ST. BERNARD FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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