Stephen D. Whipple
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 David Whipple SR, who also goes by Stephen D Whipple, Stephen David Whipple, Steve Whipple, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - January 26, 2017
INDEPENDENCE CAPITAL CO., INC.
June 15, 2007 - January 15, 2016
KESTRA INVESTMENT SERVICES, LLC
December 21, 2000 - June 21, 2007
CBIZ FINANCIAL SOLUTIONS, INC.
November 8, 2000 - March 1, 2001
NATIONAL PLANNING CORPORATION
November 14, 1997 - December 31, 1999
VESTAX SECURITIES CORPORATION
January 29, 1997 - September 22, 1997
NAVILLUS SECURITIES, INC.
July 22, 1991 - January 4, 1994
VINING-SPARKS IBG, LLC
October 11, 1984 - March 4, 1985
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: 801-136903, 8-41331
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
What does exam status mean?
Series 22
Passed: 12/11/1984
Series 6
Passed: 9/21/1984
Current Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: 801-136903, 8-41331
Contact information
SEC notice filing (3 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 300 |
| AUM (Assets Under Management) | $ 118,696,378 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
