Steven E. Reed
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.
Steven Ellis Reed was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 19 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2017 - March 3, 2022
EMERSON EQUITY LLC
January 19, 2017 - July 11, 2017
S2K FINANCIAL LLC
August 19, 2016 - November 7, 2016
SKYWAY CAPITAL MARKETS, LLC
November 2, 2015 - August 19, 2016
STILLPOINT CAPITAL, LLC
December 9, 2014 - September 17, 2015
CABOT LODGE SECURITIES LLC
May 7, 2014 - August 19, 2014
MVP AMERICAN SECURITIES
October 4, 2013 - April 9, 2014
REALTY CAPITAL SECURITIES, LLC
April 20, 2010 - August 23, 2013
NORTHSTAR SECURITIES, LLC
April 1, 2010 - May 27, 2010
WELTON STREET INVESTMENTS LLC
September 8, 2004 - December 31, 2005
DIVIDEND CAPITAL INVESTMENTS LLC
August 12, 2003 - February 8, 2010
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
March 6, 2003 - July 3, 2003
DWS INVESTMENT MANAGEMENT AMERICAS, INC.
December 18, 1995 - July 3, 2003
DWS DISTRIBUTORS, INC.
January 31, 1995 - February 24, 1995
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
August 27, 1994 - January 31, 1995
TRANSAMERICA FUND DISTRIBUTORS, INC.
December 6, 1991 - August 15, 1994
AEGON USA SECURITIES INC.
April 2, 1991 - August 21, 1991
A. G. EDWARDS & SONS, INC.
June 14, 1990 - February 20, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 1986 - June 20, 1990
CROWELL, WEEDON & CO.
September 24, 1984 - September 17, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 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.
