Stephen K. Cook
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 Kelly Cook, who also goes by Steve Cook, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2021 - March 6, 2023
FULLCIRCLE WEALTH LLC
March 13, 2013 - August 6, 2021
TRIAD ADVISORS LLC
March 13, 2013 - May 3, 2022
TRIAD ADVISORS LLC
January 24, 2006 - March 14, 2013
INVEST FINANCIAL CORPORATION
January 24, 2006 - March 14, 2013
INVEST FINANCIAL CORPORATION
June 20, 2002 - January 26, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - January 26, 2006
OSAIC FA, INC.
June 1, 1998 - January 26, 2006
OSAIC FA, INC.
January 1, 1984 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, 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
What does exam status mean?
Series 22
Passed: 4/9/1984
Series 6
Passed: 12/28/1983
Current Firm
FULLCIRCLE WEALTH LLC
CRD#: 166695 / SEC#: 801-121913
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,243 |
| AUM (Assets Under Management) | $ 257,430,805 |
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.
