Stephen D. Avery
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 Douglas Avery, who also goes by Steve Avery, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 52, Series 62, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2000 - July 25, 2006
INDEPENDENT ADVISERS GROUP CORP
April 3, 1998 - September 22, 2021
OSAIC FS, INC.
October 16, 1989 - September 22, 2021
OSAIC FS, INC.
May 23, 1988 - October 28, 1989
INVESTACORP, INC.
September 11, 1985 - June 1, 1988
COMMONWEALTH FINANCIAL NETWORK
May 6, 1983 - September 19, 1985
NEW ENGLAND SECURITIES
March 9, 1983 - December 19, 1984
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
Series 62
Date: 3/4/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
INDEPENDENT ADVISERS GROUP CORP
CRD#: 106684 / SEC#: 801-50971
Contact information
Red Flags
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