Stephen T. Dodd
Professional summary
Stephen Towner Dodd, who also goes by Stephen Towner Dodd, Steve Dodd, Stephen Dodd, is a registered financial professional currently at ACADEMY SECURITIES, INC. located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Towner Dodd's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2026 - Present
ACADEMY SECURITIES, INC.
Office #1: 622 3rd Avenue 12th Floor, New York, NY 10017January 16, 2024 - April 25, 2025
IMPERIAL CAPITAL, LLC
April 27, 2020 - May 9, 2023
R.W.PRESSPRICH & CO.
November 18, 2019 - March 13, 2020
JANNEY MONTGOMERY SCOTT LLC
March 31, 2014 - January 15, 2019
GUGGENHEIM SECURITIES, LLC
August 5, 2013 - March 18, 2014
FM PARTNERS HOLDINGS LLC
February 17, 2010 - August 2, 2013
COHEN & COMPANY SECURITIES, LLC
July 7, 2008 - May 11, 2010
PALI CAPITAL, INC.
June 29, 2006 - April 2, 2008
PIPER SANDLER & CO.
July 1, 2003 - December 9, 2005
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 8, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
August 29, 1995 - November 8, 1995
NATIVE NATIONS SECURITIES, INC.
November 18, 1994 - May 25, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
November 2, 1990 - September 7, 1994
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/22/2026)
Exams
FINRA
Current Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (41 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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