Stephen F. Anderson

1851 SECURITIES,

Hartford, CT 06102

Some features on this profile are disabled

CRD#: 1181095

Professional summary

Stephen Francis Anderson, CFP® is a registered financial professional currently at 1851 SECURITIES, INC located in Hartford, Connecticut and AMS BROKERAGE SERVICES LLC located in Baton Rouge, Louisiana.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Francis Anderson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

September 24, 2021 - Present

1851 SECURITIES, INC

Office #1: One American Row, Hartford, CT 06102

CRD#: 153006

Hartford, CT

Current

July 9, 2025 - Present

AMS BROKERAGE SERVICES LLC

Office #1: 1700 City Farm Drive Suite B, Baton Rouge, LA 70806

CRD#: 335083

Baton Rouge, LA

Current

September 4, 2025 - Present

FIDELITY & GUARANTY SECURITIES, LLC

Office #1: 801 Grand Ave. Suite 2600, Des Moines, IA 50309

CRD#: 315720

Des Moines, IA

Current

March 5, 2026 - Present

ASHTON THOMAS SECURITIES, LLC

Office #1: 200 Canal View Blvd. Ste. 204, Rochester, NY 14623

RIA

CRD#: 16629

Rochester, NY

Past

January 25, 2024 - December 1, 2024

FN REALTY ADVISORS LLC

CRD#: 325507

RED BANK, NJ

Past

March 30, 2023 - March 4, 2024

FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720

Des Moines, IA

Past

August 25, 2021 - July 13, 2022

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

RICHMOND, VA

Past

August 25, 2021 - July 13, 2022

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

RICHMOND, VA

Past

March 13, 2013 - September 21, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

DOWNERS GROVE, IL

Past

October 15, 2009 - September 21, 2021

LPL FINANCIAL LLC

CRD#: 6413

DOWNERS GROVE, IL

Past

October 28, 2002 - April 22, 2010

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

ITASCA, IL

Past

February 25, 1993 - October 28, 2002

DREHER & ASSOCIATES, INC.

CRD#: 8665

OAKBROOK TERRACE, IL

Past

July 27, 1983 - February 20, 1993

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

BLOOMINGTON, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629 / SEC#: 801-69225, 8-34261

RIA

Registered Investment Advisory firm - SEC (6/11/2008 Approved)

Florida

Registered Investment Advisory firm - SEC (6/18/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/24/2021)

Alaska
(9/24/2021)

Arizona
(9/24/2021)

Arkansas
(9/24/2021)

California
(9/24/2021)

Colorado
(9/24/2021)

Connecticut
(9/24/2021)

Delaware
(9/24/2021)

District of Columbia
(9/24/2021)

Florida
(9/24/2021)

Georgia
(9/24/2021)

Hawaii
(9/24/2021)

Idaho
(9/24/2021)

Illinois
(9/24/2021)

Indiana
(9/24/2021)

Iowa
(9/24/2021)

Kansas
(9/24/2021)

Kentucky
(9/24/2021)

Louisiana
(9/24/2021)

Maine
(9/24/2021)

Maryland
(9/24/2021)

Massachusetts
(9/24/2021)

Michigan
(9/24/2021)

Minnesota
(9/24/2021)

Mississippi
(9/24/2021)

Missouri
(9/24/2021)

Montana
(9/24/2021)

Nebraska
(9/24/2021)

Nevada
(9/24/2021)

New Hampshire
(9/24/2021)

New Jersey
(9/27/2021)

New Mexico
(9/24/2021)

New York
(9/24/2021)

North Carolina
(9/24/2021)

North Dakota
(9/24/2021)

Ohio
(9/24/2021)

Oklahoma
(9/24/2021)

Oregon
(9/24/2021)

Pennsylvania
(9/24/2021)

Puerto Rico
(9/24/2021)

Rhode Island
(9/24/2021)

South Carolina
(9/24/2021)

South Dakota
(9/24/2021)

Tennessee
(3/5/2026)

Texas
(9/24/2021)

Utah
(9/24/2021)

Vermont
(9/24/2021)

Virginia
(9/24/2021)

Washington
(9/24/2021)

West Virginia
(9/24/2021)

Wisconsin
(9/24/2021)

Wyoming
(9/24/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/11/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/7/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 10/14/2003

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/1995

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

FINRA

Current Firm

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629 / SEC#: 801-69225, 8-34261

RIA

Registered Investment Advisory firm - SEC (6/11/2008 Approved)

Florida

Registered Investment Advisory firm - SEC (6/18/2008 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 Canal View Blvd. Suite 204, Rochester, NY 14623

Mailing Address

200 Canal View Blvd. Ste. 204, Rochester, NY 14623

Phone number

(585) 424-1234

Established

Delaware since 01/08/2024

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (44 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (8/15/2025)

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
EXPLORER INVESTMENT HOLDINGS, LLC	MEMBER
BRITT, TERRENCE PATRICK	VICE PRESIDENT / CHIEF OPERATING OFFICER	2165686
JOHNSON, KIMBERLY	CHIEF COMPLIANCE OFFICER	5378831
LANZISERA, JOSEPH ANTHONY	PRESIDENT AND CHIEF FINANCIAL OFFICER	1052572

Regulatory assets under management

Total Number of Accounts	2,599
AUM (Assets Under Management)	$ 1,717,957,312

Disclosures

Regulatory Event	4
Arbitration	2

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.

Similar Advisors

Samuel Kaplowitz

BREACHWAY INVESTMENTS, LLC

IAR

West Hartford, CT

Richard Rake

FINANCIAL RESOURCES GROUP, LLC

IAR

GLASTONBURY, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen F. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Francis Anderson's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMS BROKERAGE SERVICES LLC

FIDELITY & GUARANTY SECURITIES, LLC

ASHTON THOMAS SECURITIES, LLC

FN REALTY ADVISORS LLC

FIDELITY & GUARANTY SECURITIES, LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WATERSTONE FINANCIAL GROUP, INC.

DREHER & ASSOCIATES, INC.

COUNTRY CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

ASHTON THOMAS SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/11/1995

Series 63

Date: 11/14/1991

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/7/1994

Series 27

Date: 10/14/2003

Series 24

Date: 5/12/1995

FINRA

FINRA

Current Firm

ASHTON THOMAS SECURITIES, LLC

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ASHTON THOMAS SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors