SA
Stephen F. Anderson
1851 SECURITIES,
Hartford, CT 06102
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CRD#: 1181095
SA
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 10 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"?
No
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.
1. 7/19/2011: NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - I DO SOME FIXED INSURANCE THROUGH OUTSIDE INSURANCE AGENCIES - TIME SPENT 50%. 2. 5/14/2012: STEPHEN F. ANDERSON FINANCIAL SERVICES - NON-VARIABLE INSURANCE DBA - INV REL - AT REPORTED BUSINESS LOCATION - 100% TIME SPENT. 3. 12/19/2019 - Dietrich Partners - Not Investment Related - 2540 Pebble Creek Drive, Lisle, Il 60532 - Other-Software Company - Started 10/01/2019 - 10 Hours Per Month/5 Hours During Securities Trading. 4. August 2021 Oyster Consulting, LLC 4128 Innslake Drive, Glen Allen, VA 23060 Not investment related, Director 150 hours/months, 20 hours/per week during securities hours 5. January 2014 Village of Lisle, Police Commissioner/Citizen Representative Not investment related 5/month 1hour week during securities hours
CRS (Client Relationship Summary) - BD
Click below to view Stephen Francis Anderson's 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®
Experience
Current
September 24, 2021 - Present
1851 SECURITIES, INC
Office #1: One American Row, Hartford, CT 06102BD
CRD#: 153006
Hartford, CT
Current
July 9, 2025 - Present
AMS BROKERAGE SERVICES LLC
Office #1: 1700 City Farm Drive Suite B, Baton Rouge, LA 70806BD
CRD#: 335083
Baton Rouge, LA
Current
September 4, 2025 - Present
FIDELITY & GUARANTY SECURITIES, LLC
Office #1: 801 Grand Ave. Suite 2600, Des Moines, IA 50309BD
CRD#: 315720
Des Moines, IA
Past
January 25, 2024 - December 1, 2024
FN REALTY ADVISORS LLC
BD
CRD#: 325507
RED BANK, NJ
Past
March 30, 2023 - March 4, 2024
FIDELITY & GUARANTY SECURITIES, LLC
BD
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.
BD
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
BD
CRD#: 6413
DOWNERS GROVE, IL
Past
October 28, 2002 - April 22, 2010
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
ITASCA, IL
Past
February 25, 1993 - October 28, 2002
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
OAKBROOK TERRACE, IL
Past
July 27, 1983 - February 20, 1993
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
BLOOMINGTON, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(9/24/2021)
RR
Alaska(9/24/2021)
RR
Arizona(9/24/2021)
RR
Arkansas(9/24/2021)
RR
California(9/24/2021)
RR
Colorado(9/24/2021)
RR
Connecticut(9/24/2021)
RR
Delaware(9/24/2021)
RR
District of Columbia(9/24/2021)
RR
Florida(9/24/2021)
RR
Georgia(9/24/2021)
RR
Hawaii(9/24/2021)
RR
Idaho(9/24/2021)
RR
Illinois(9/24/2021)
RR
Indiana(9/24/2021)
RR
Iowa(9/24/2021)
RR
Kansas(9/24/2021)
RR
Kentucky(9/24/2021)
RR
Louisiana(9/24/2021)
RR
Maine(9/24/2021)
RR
Maryland(9/24/2021)
RR
Massachusetts(9/24/2021)
RR
Michigan(9/24/2021)
RR
Minnesota(9/24/2021)
RR
Mississippi(9/24/2021)
RR
Missouri(9/24/2021)
RR
Montana(9/24/2021)
RR
Nebraska(9/24/2021)
RR
Nevada(9/24/2021)
RR
New Hampshire(9/24/2021)
RR
New Jersey(9/27/2021)
RR
New Mexico(9/24/2021)
RR
New York(9/24/2021)
RR
North Carolina(9/24/2021)
RR
North Dakota(9/24/2021)
RR
Ohio(9/24/2021)
RR
Oklahoma(9/24/2021)
RR
Oregon(9/24/2021)
RR
Pennsylvania(9/24/2021)
RR
Puerto Rico(9/24/2021)
RR
Rhode Island(9/24/2021)
RR
South Carolina(9/24/2021)
RR
South Dakota(9/24/2021)
RR
Texas(9/24/2021)
RR
Utah(9/24/2021)
RR
Vermont(9/24/2021)
RR
Virginia(9/24/2021)
RR
Washington(9/24/2021)
RR
West Virginia(9/24/2021)
RR
Wisconsin(9/24/2021)
RR
Wyoming(9/24/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
F&
FIDELITY & GUARANTY SECURITIES, LLC
FIDELITY & GUARANTY SECURITIES CORP. | FIDELITY & GUARANTY SECURITIES, LLC
CRD#: 315720 / SEC#: , 8-70916
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Mailing Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Phone number
+1 (888) 697-5433
Established
Delaware since 08/16/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | |
| ANDERSON, STEPHEN FRANCIS | CHIEF COMPLIANCE OFFICER AND AML OFFICER | 1181095 |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 |
| PHELPS, JOHN A | DIRECTOR | 5664815 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
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.
