Stephen R. Kareta
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 Richard Kareta 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 66, Series 63, SIE, Series 7, Series 3, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - May 26, 2020
NORTHWEST INVESTMENT ADVISORS, INC.
March 1, 2007 - December 31, 2016
FOOTHILL SECURITIES, INC.
February 19, 2007 - December 31, 2016
FOOTHILL SECURITIES, INC.
August 27, 2004 - July 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 2004 - July 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 18, 1987 - September 1, 1993
UBS FINANCIAL SERVICES INC.
April 20, 1983 - January 13, 1988
E. F. HUTTON & COMPANY 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
NORTHWEST INVESTMENT ADVISORS, INC.
CRD#: 109737 / SEC#: , 8-65282
Contact information
FINRA licenses (13 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUBB, SEAN MICHAEL | PRESIDENT/SECRETARY/CCO/CFO | 4110305 |
Regulatory assets under management
| Total Number of Accounts | 95 |
| AUM (Assets Under Management) | $ 35,259,644 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
