Stephen J. Folan
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 James Folan was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2004 - December 19, 2013
NORTH RIDGE SECURITIES CORP.
May 28, 2003 - November 5, 2004
GROVE POINT INVESTMENTS, LLC
November 8, 2000 - April 25, 2003
GOLDIS FINANCIAL GROUP, INC.
August 24, 1994 - November 15, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
NORTH RIDGE SECURITIES CORP.
CRD#: 27098 / SEC#: 801-108451, 8-42879
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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