Stephen P. Ross
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 Phillip Ross 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 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
December 8, 1992 - May 10, 1996
PRIVATE INVESTORS EQUITY GROUP
June 10, 1992 - August 12, 1992
UNITED PACIFIC SECURITIES, INC.
October 10, 1990 - May 6, 1992
TITAN/VALUE EQUITIES GROUP, INC.
April 4, 1988 - June 7, 1990
MORGAN STANLEY DW INC.
February 15, 1988 - April 27, 1988
LEHMAN BROTHERS INC.
August 22, 1984 - February 15, 1988
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
PRIVATE INVESTORS EQUITY GROUP
CRD#: 15685 / SEC#: , 8-33355
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBBINS, LEONARD ALAN | PRESIDENT, CEO, CFO, SECRETARY, DIRECTOR | 815339 |
Disclosures
| Arbitration | 2 |
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.
