Stephen R. Anderson
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 Richard Anderson, who also goes by Steve Anderson, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 17 firms and has passed the 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
June 10, 2016 - December 2, 2016
EQUUS FINANCIAL CONSULTING LLC
December 2, 2015 - May 31, 2016
CIM SECURITIES, LLC
September 19, 2013 - December 6, 2013
INVESTMENT PROFESSIONALS, INC.
September 19, 2013 - December 6, 2013
INVESTMENT PROFESSIONALS, INC.
February 13, 2013 - September 19, 2013
CETERA ADVISORS LLC
February 8, 2013 - September 19, 2013
CETERA ADVISORS LLC
March 8, 2006 - July 2, 2012
ICON ADVISERS, INC.
September 29, 2003 - July 2, 2012
ICON DISTRIBUTORS, INC.
January 1, 1999 - January 7, 2004
ANDERSON FINANCIAL SERVICES, INC
September 1, 1994 - December 31, 1997
SECURITIES AMERICA, INC.
March 1, 1993 - September 12, 1994
OSAIC WEALTH, INC.
July 3, 1991 - March 23, 1993
NEW ENGLAND SECURITIES
June 25, 1990 - March 3, 1993
CETERA WEALTH SERVICES, LLC
December 16, 1989 - July 3, 1990
LPL FINANCIAL LLC
February 3, 1989 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
January 21, 1987 - February 11, 1989
VSR FINANCIAL SERVICES, INC.
September 22, 1986 - November 21, 1986
CREST SECURITIES, INC.
November 21, 1985 - July 14, 1986
KEOGLER, MORGAN & COMPANY, INC.
January 26, 1984 - December 4, 1985
FSC SECURITIES CORPORATION
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
EQUUS FINANCIAL CONSULTING LLC
CRD#: 131449 / SEC#: , 8-66467
Contact information
FINRA licenses (50 States and Territories)
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.
