Stephen K. Schlunz
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 Kenneth Schlunz was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 6 firms and has passed the Series 63, Series 7 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
April 22, 2008 - January 23, 2009
NEWPORT COAST SECURITIES, INC.
July 11, 2007 - May 10, 2008
NATIONAL SECURITIES CORPORATION
November 28, 1995 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
August 28, 1992 - November 17, 1995
FOSTER JEFFRIES SECURITIES, LLC
January 4, 1986 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
February 25, 1985 - December 26, 1985
BLINDER, ROBINSON & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
Red Flags
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