Steven W. Stroker
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.
Steven Waters Stroker was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 15, Series 5, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2017 - May 1, 2023
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
May 9, 2011 - July 15, 2016
ROBERT W. BAIRD & CO. INCORPORATED
May 9, 2011 - July 15, 2016
ROBERT W. BAIRD & CO. INCORPORATED
June 1, 2009 - May 19, 2011
MORGAN STANLEY
June 1, 2009 - May 19, 2011
MORGAN STANLEY
August 1, 1994 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
July 21, 1983 - February 15, 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
Series 15
Date: 8/29/1991
Foreign Currency Options ExaminationSeries 5
Date: 6/18/1985
Interest Rate Options ExaminationSeries 8
Date: 7/10/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
CRD#: 119546 / SEC#: , 8-65199
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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