Stephen M. Jordan
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 Michael Jordan, who also goes by Stephen M Jordan, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 4 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 1989 - August 30, 1994
VESTAX SECURITIES CORPORATION
July 20, 1987 - September 1, 1989
CARILLON INVESTMENTS, INC.
August 1, 1986 - July 14, 1987
VESTAX SECURITIES CORPORATION
January 17, 1986 - August 13, 1986
WRP INVESTMENTS, INC.
July 17, 1983 - February 14, 1984
NATIONWIDE 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
Current Firm
VESTAX SECURITIES CORPORATION
CRD#: 10332 / SEC#: , 8-27024
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VESTAX CAPITAL CORPORATION | SOLE SHAREHOLDER | |
| DUNSTAN, RICHARD VAUGHAN | MUNICIPAL PRINCIPAL | 1632092 |
| DUNSTAN, RICHARD VAUGHAN | SROP/CROP | 1632092 |
| HARRISON, BRETT LAMAR | COO, SENIOR VICE PRESIDENT | 4032238 |
| MCEVOY, PATRICK HENRY | PRESIDENT, CEO | 1796543 |
| RESSLER, SANDER JAMES | CCO | 1455553 |
| STEWART, EVERETT PAUL JR | CFO | 2025188 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
