Steven L. Schou
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 Laverne Schou, CFP®, who also goes by Steve Schou, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 6 firms and has passed the Series 63, SIE, 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
Start date: 1994
Experience
March 20, 2019 - September 5, 2019
BATES SECURITIES, INC.
March 15, 2019 - September 5, 2019
BATES FINANCIAL ADVISORS, INC.
April 29, 2002 - May 8, 2017
KLAAS FINANCIAL ASSET ADVISORS, LLC.
January 7, 2002 - July 3, 2017
INVESTACORP ADVISORY SERVICES INC
October 22, 1993 - May 22, 2017
INVESTACORP, INC.
April 26, 1983 - December 7, 1993
PRINCIPAL SECURITIES, INC.
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
BATES SECURITIES, INC.
CRD#: 10759 / SEC#: , 8-29005
Contact information
FINRA licenses (34 States and Territories)
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.
