Steven M. Loseff
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 Michael Loseff was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 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
August 15, 2001 - September 26, 2016
STANCORP EQUITIES, INC.
November 28, 2000 - September 26, 2016
STANCORP INVESTMENT ADVISERS, INC.
April 21, 1994 - August 16, 2001
SENTRA SECURITIES CORPORATION
April 1, 1991 - August 3, 1992
UNUM SALES CORPORATION
August 19, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 19, 1983 - March 13, 1991
IDS LIFE INSURANCE COMPANY
August 19, 1983 - March 13, 1991
AMERIPRISE FINANCIAL SERVICES, 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
STANCORP EQUITIES, INC.
CRD#: 19517 / SEC#: , 8-37563
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANCORP FINANCIAL GROUP, INC. | OWNER OF STANCORP EQUITIES, INC. | |
| BURLIE, JASON MATTHEW | PRESIDENT | 4072452 |
| HUANG, JAMES PEI-YUEN | SECRETARY | 4020305 |
| LIM, CHARLES | CHIEF COMPLIANCE OFFICER | 5039063 |
| MARTIN, SHANNON MICHELLE | 2ND VICE PRESIDENT AND ASSISTANT CONTROLLER | 7616238 |
| PAGLIARULO, DAVID C | TREASURER, FINOP | 6883045 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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