Stephen P. Collins
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 Patrick Collins, who also goes by Steve Collins, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2014 - June 14, 2017
LAIDLAW & COMPANY (UK) LTD.
December 12, 2012 - April 10, 2014
GILFORD SECURITIES INCORPORATED
November 14, 2012 - December 11, 2012
AEGIS CAPITAL CORP.
June 5, 2012 - September 18, 2012
HFP CAPITAL MARKETS LLC
February 21, 2012 - June 11, 2012
JOHN CARRIS INVESTMENTS LLC
October 14, 2010 - September 30, 2011
STONE & YOUNGBERG LLC
June 11, 2008 - October 12, 2010
LAIDLAW & COMPANY (UK) LTD.
December 20, 2005 - April 25, 2008
DEUTSCHE BANK SECURITIES INC.
July 1, 2003 - September 26, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 4, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 13, 2001 - October 14, 2002
DEUTSCHE BANK SECURITIES INC.
June 22, 2000 - January 13, 2001
DB ALEX. BROWN LLC
September 5, 1996 - June 29, 2000
UBS FINANCIAL SERVICES INC.
May 5, 1995 - October 3, 1996
MORGAN STANLEY DW INC.
March 20, 1991 - May 15, 1992
CHEVY CHASE FINANCIAL SERVICES
January 2, 1990 - March 14, 1990
MERCANTILE BROKERAGE SERVICES, INC.
July 4, 1987 - December 10, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 1985 - March 18, 1986
CITIGROUP GLOBAL MARKETS INC.
October 19, 1983 - April 24, 1985
E. F. HUTTON & COMPANY 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
Exams
Current Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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