Stephen M. Green
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 Myron Green, who also goes by Steve Green, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2022 - December 31, 2025
CREWS & ASSOCIATES, INC.
June 29, 2015 - May 20, 2022
VINING-SPARKS IBG, LLC
November 15, 2006 - July 7, 2015
FHN FINANCIAL SECURITIES CORP.
November 17, 2005 - November 6, 2006
TERWIN CAPITAL, LLC
June 14, 2002 - November 3, 2005
GUGGENHEIM SECURITIES, LLC
April 4, 2001 - May 1, 2001
JPMSI
February 12, 2001 - April 4, 2002
J.P. MORGAN SECURITIES INC.
December 2, 1998 - February 9, 2001
GUGGENHEIM SECURITIES, LLC
June 22, 1989 - December 11, 1998
PERSHING LLC
August 10, 1987 - October 29, 1987
PAINEWEBBER REAL ESTATE SECURITIES INC.
January 23, 1985 - July 26, 1989
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
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
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
Contact information
SEC notice filing (19 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
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.
