Stephen C. Brubaker
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 Charles Brubaker, who also goes by Steve Brubaker, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 4 firms and has passed the 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
July 7, 2005 - December 31, 2025
THE TAVENNER COMPANY
January 6, 1999 - July 18, 2005
WESTMINSTER FINANCIAL SECURITIES, INC.
December 2, 1997 - December 31, 1998
THE TAVENNER COMPANY
March 2, 1995 - December 4, 1997
ADVANTAGE CAPITAL CORPORATION
August 15, 1994 - December 31, 1994
ADVANTAGE CAPITAL CORPORATION
May 20, 1994 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
October 7, 1983 - April 22, 1994
TOWER SQUARE SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE TAVENNER COMPANY
CRD#: 18004 / SEC#: , 8-41206
Contact information
FINRA licenses (24 States and Territories)
Red Flags
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