Stephen V. Webb
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 Vinson Webb was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1983. Stephen had worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2010 - June 11, 2015
IFS SECURITIES
July 31, 2007 - March 5, 2010
WADDELL & REED
July 24, 2007 - March 5, 2010
WADDELL & REED
November 4, 2005 - April 19, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
November 4, 2005 - April 19, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 4, 2004 - November 23, 2005
INVESTMENT PROFESSIONALS, INC.
February 4, 2004 - November 23, 2005
INVESTMENT PROFESSIONALS, INC.
December 22, 1999 - February 3, 2004
CUNA BROKERAGE SERVICES, INC.
December 22, 1999 - February 3, 2004
CUNA BROKERAGE SERVICES, INC.
November 30, 1998 - January 4, 2000
FIRST BROKERAGE AMERICA, L.L.C.
May 29, 1998 - October 29, 1998
FIRST ALLIED SECURITIES, INC.
November 26, 1990 - June 5, 1998
SMITH, MOORE & CO.
February 14, 1989 - December 5, 1990
FIRST GATEWAY SECURITIES INC.
November 18, 1988 - February 13, 1989
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
January 30, 1987 - February 1, 1988
I.M. SIMON & CO., INC.
August 6, 1985 - February 14, 1987
CHARLOTTE S. COHEN & COMPANY, INC.
November 23, 1983 - July 23, 1985
A. G. EDWARDS & SONS, 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
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 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.
