Stephen D. Summerfield
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 Dixon Summerfield 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
August 1, 1996 - December 17, 1999
FERRIS, BAKER WATTS, LLC
July 20, 1993 - August 21, 1996
FIRST UNION CAPITAL MARKETS CORP.
March 16, 1990 - July 21, 1993
A. G. EDWARDS & SONS, INC.
January 25, 1988 - March 21, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1986 - February 2, 1988
PHILIPS, APPEL & WALDEN, INC.
December 18, 1984 - January 22, 1986
FIRST JERSEY SECURITIES, 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
FERRIS, BAKER WATTS, LLC
CRD#: 285 / SEC#: , 8-16427
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC CAPITAL MARKETS CORPORATION | 100% OWNER | 31194 |
| CHAPMAN, JAMES DOUGLAS | CEO | 728296 |
| COQUELIN, WILLIAM CARL | CHIEF INFORMATION OFFICER | |
| DIRZUWEIT, LENEE BETH | ROSFP | 2480492 |
| HARTMAN, CRAIG ROBERT | CFO | 4413090 |
| KAVANAGH, MICHAEL ROBERT | DIRECTOR | 1021014 |
| KERMEEN, DEBORAH JOY | COO | 2235924 |
| LEAVERTON, KARL VERNON | DIRECTOR | 1106831 |
| RUTHERFORD, PATRICIA ANN | CHIEF COMPLIANCE OFFICER | 5059176 |
| TAFT, JOHN GODFREY | DIRECTOR | 1007933 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 18 |
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.
