Stephen B. Jencks
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 Beede Jencks was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 7 firms and has passed the Series 63, Series 7 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 26, 2009 - June 4, 2010
FINACORP SECURITIES
April 17, 2007 - September 19, 2008
TMC BONDS L.L.C.
September 7, 2006 - April 9, 2007
PIPER SANDLER & CO.
January 2, 2004 - September 18, 2006
NATALLIANCE SECURITIES, LLC
May 7, 1998 - November 14, 2006
JENCKS & COMPANY LLC
August 16, 1995 - December 3, 1997
SEATTLE-NORTHWEST SECURITIES CORPORATION
June 29, 1983 - July 14, 1986
PRUDENTIAL EQUITY GROUP, 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
FINACORP SECURITIES
CRD#: 41569 / SEC#: , 8-49494
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLUVION SECURITIES, LLC | SHAREHOLDER | 143623 |
| DAVIS, DANIEL JAY | GOVERMENT, AGENCY AND MONEY MARKET TRADING | 2193201 |
| HOLSTEAD, GEORGE B III | DIRECTOR, SALES AND TRADING | 2389943 |
| THE HARBOR BANK OF MARYLAND | SHAREHOLDER | |
| KIME, MIRAL EONHAH | COO - RISK MANAGER | 1754630 |
| LENSING, DAVID CASPER | PRESIDENT/CEO | 5103288 |
| LITWIN, ANDREW FRANK | CHIEF COMPLIANCE OFFICER/CCO | 2857571 |
| MCCOY, BRANDON LEE | MUNICIPAL TRADING | 2392972 |
| RIDER, SCOTT ALAN | GOVERNMENT, AGENCY AND MONEY MARKET TRADING | 3168094 |
| VAN ZANDT, ARIK KRISTIAN | CFO/FINOP | 5485082 |
Disclosures
| Regulatory Event | 2 |
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.
