Stephen Y. Dealy
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 Young Dealy was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1983. Stephen had worked at 4 firms and has passed the Series 65, Series 63, Series 7 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
January 12, 2005 - September 12, 2014
INVESTORS CAPITAL CORP.
May 29, 2003 - December 31, 2004
EASTERN POINT ADVISORS INC.
November 21, 2001 - September 12, 2014
INVESTORS CAPITAL CORP.
May 10, 1983 - October 26, 2001
METROPOLITAN LIFE INSURANCE COMPANY
May 10, 1983 - October 26, 2001
MSI FINANCIAL SERVICES, 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
