Stephen P. Fulton
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 Powell Fulton was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 3, 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 8, 2018 - March 29, 2018
HUNT FINANCIAL SECURITIES
December 1, 2005 - December 31, 2012
FRANKLIN DISTRIBUTORS, LLC
September 30, 2003 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
August 11, 2001 - September 30, 2003
HOWARD WEIL INCORPORATED
April 4, 2000 - August 11, 2001
ARROYO SECO, INC.
April 8, 1996 - December 22, 1999
NATWEST MARKETS SECURITIES INC.
March 13, 1996 - April 4, 1996
NATWEST MARKETS SECURITIES INC.
February 9, 1994 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
February 9, 1994 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
February 9, 1994 - March 15, 1996
LEHMAN BROTHERS INC.
February 14, 1992 - February 15, 1994
JPMSI
July 17, 1986 - December 23, 1991
GOLDMAN SACHS & CO. LLC
October 19, 1983 - May 29, 1984
CREDIT SUISSE SECURITIES (USA) 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
Series 8
Date: 3/2/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HUNT FINANCIAL SECURITIES
CRD#: 169919 / SEC#: , 8-69397
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUNT CAPITAL HOLDINGS INVESTMENTS, LLC | 100% MEMBER | |
| GUZMAN, JEFFREY M | CCO | 3095123 |
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.
