SG
Stephen M. Green
CREWS & ASSOCIATES
New York, NY 10016
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CRD#: 1190309
SG
Professional summary
Stephen Myron Green, who also goes by Steve Green, is a registered financial professional currently at CREWS & ASSOCIATES, INC. located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1985. Stephen has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Green
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Myron Green'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®
NoneExperience
Current
May 3, 2022 - Present
CREWS & ASSOCIATES, INC.
Office #1: 369 Lexington Avenue 21st Floor, New York, NY 10016RIA
BD
CRD#: 8052
New York, NY
Past
June 29, 2015 - May 20, 2022
VINING-SPARKS IBG, LLC
BD
CRD#: 27502
Westport, CT
Past
November 15, 2006 - July 7, 2015
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
NEW YORK, NY
Past
November 17, 2005 - November 6, 2006
TERWIN CAPITAL, LLC
BD
CRD#: 122463
NEW YORK, NY
Past
June 14, 2002 - November 3, 2005
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
April 4, 2001 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
February 12, 2001 - April 4, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
December 2, 1998 - February 9, 2001
GUGGENHEIM SECURITIES, LLC
BD
CRD#: 40638
NEW YORK, NY
Past
June 22, 1989 - December 11, 1998
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
August 10, 1987 - October 29, 1987
PAINEWEBBER REAL ESTATE SECURITIES INC.
BD
CRD#: 19736
Past
January 23, 1985 - July 26, 1989
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
Arkansas(5/3/2022)
RR
California(5/3/2022)
RR
Connecticut(5/3/2022)
RR
Florida(5/3/2022)
RR
Illinois(5/3/2022)
RR
Massachusetts(5/3/2022)
RR
New Jersey(5/3/2022)
RR
New York(5/3/2022)
RR
North Carolina(3/21/2025)
RR
Pennsylvania(5/3/2022)
RR
Texas(5/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
521 President Clinton Avenue Suite 800, Little Rock, AR 72201
Mailing Address
P.o. Box 1696, Little Rock, AR 72203-1696
Phone number
(501) 907-2000
Established
Arkansas since 07/06/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
130
SEC notice filing (18 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.
