Stephen D. Ferrone
Professional summary
Stephen Daniel Ferrone was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen Daniel Ferrone was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 9 firms and has passed the Series 63, Series 7, Series 24 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
February 22, 2007 - November 9, 2007
BROCKINGTON SECURITIES, INC.
May 16, 2005 - August 26, 2005
MORNINGSTAR INVESTMENT SERVICES LLC
January 2, 2002 - April 29, 2005
STERLING CAPITAL DISTRIBUTORS, LLC
June 5, 1997 - January 2, 2002
FORESIDE FUNDS DISTRIBUTORS LLC
September 9, 1996 - June 4, 1997
FPS BROKER SERVICES, INC.
May 29, 1991 - August 8, 1996
CHARLES SCHWAB & CO., INC.
June 20, 1988 - May 1, 1991
MESIROW INVESTMENT SERVICES, INC.
December 4, 1985 - June 28, 1988
BLUNT ELLIS & LOEWI INCORPORATED
August 24, 1983 - December 13, 1985
THOMSON MCKINNON SECURITIES 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 8
Date: 10/6/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BROCKINGTON SECURITIES, INC.
CRD#: 37438 / SEC#: , 8-47749
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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