Stephen J. Azcona
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 John Azcona 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 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2014 - January 24, 2018
EQUITABLE DISTRIBUTORS, LLC
July 30, 2013 - July 15, 2014
TOUCHSTONE SECURITIES, INC.
October 1, 1997 - September 27, 2002
OSAIC FS, INC.
November 10, 1995 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
February 25, 1986 - May 30, 1995
PAN-AMERICAN FINANCIAL ADVISERS
July 11, 1984 - March 25, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
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
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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