Stephen A. Verock
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 Alan Verock, who also goes by Steve Verock, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 5 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
January 7, 2014 - July 18, 2022
LINCOLN DOUGLAS INVESTMENTS, LLC
June 17, 1997 - December 31, 2013
WRP INVESTMENTS, INC.
April 27, 1993 - June 23, 1997
MARINER FINANCIAL SERVICES, INC.
June 20, 1989 - December 31, 1992
MARINER FINANCIAL SERVICES, INC.
January 1, 1988 - August 12, 1988
PRINCIPAL SECURITIES, INC.
January 21, 1983 - October 20, 1987
NYLIFE SECURITIES 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
LINCOLN DOUGLAS INVESTMENTS, LLC
CRD#: 155578 / SEC#: 801-72438, 8-68728
Contact information
FINRA licenses (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 199 |
| AUM (Assets Under Management) | $ 97,644,384 |
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.
