Steven C. Brumbaugh
Professional summary
Steven Curtis Brumbaugh is a registered financial professional currently at OAK TREE SECURITIES, INC. located in Burlingame, California.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Curtis Brumbaugh's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 24, 1995 - Present
OAK TREE SECURITIES, INC.
Office #1: 747 El Camino Real Apt 3, Burlingame, CA 94010April 24, 2009 - November 26, 2019
OAK TREE SECURITIES, INC.
August 11, 2006 - December 31, 2013
DIVERSIFIED PLANNING CONCEPTS, INC.
October 21, 1994 - March 24, 1995
WMA SECURITIES, INC.
May 3, 1990 - October 24, 1994
NORTH AMERICAN MANAGEMENT, INC.
February 13, 1985 - May 4, 1990
PFS INVESTMENTS 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
(4/6/2023)
(4/24/1995)
(6/15/2015)
(5/7/2020)
Exams
FINRA
Current Firm
OAK TREE SECURITIES, INC.
CRD#: 18126 / SEC#: 801-39201, 8-36138
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 3,689,200 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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