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Steven E. Nothern

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CRD#: 1190958
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Professional summary

Steven Eric Nothern was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Steven had worked at 4 firms, which includes MFS FUND DISTRIBUTORS INC., MFS FINANCIAL SERVICES INC., MASSACHUSETTS FINANCIAL SERVICES COMPANY, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Eric Northern | Steven E Nothern

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 6, 1994 - April 9, 2002

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

December 24, 1986 - December 31, 1994

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
BOSTON, MA
Past

August 29, 1986 - January 9, 1987

MASSACHUSETTS FINANCIAL SERVICES COMPANY

BD
CRD#: 7383
Past

October 19, 1983 - July 12, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/7/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination

Current Firm

MF
MFS FUND DISTRIBUTORS, INC.
MFS FUND DISTRIBUTORS, INC. | MFS INVESTOR SERVICES, INC.

CRD#: 31052 / SEC#: , 8-45321

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
111 Huntington Avenue, Boston, MA 02199
Mailing Address
111 Huntington Avenue, Boston, MA 02199
Phone number
(617) 954-5000
Established
Delaware since 10/27/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MASSACHUSETTS FINANCIAL SERVICES COMPANYPARENT COMPANY
GEREMIA, CAROL WILLIAMDIRECTOR AND CHAIRMAN OF THE BOARD1456883
HARDIN, HEIDI WALTERSECRETARY2619251
HUNT, MICHAEL ANDREWCHIEF COMPLIANCE OFFICER4150065
KEENAN, MICHAEL SEANPRESIDENT AND DIRECTOR2324763
SMELSTOR, JOSEPH JOHN IVTREASURER AND SENIOR GROUP CONTROLLER6247186

Disclosures

Regulatory Event1

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.

Company Information

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

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