Robert P. Stephens
Professional summary
Robert Patrick Stephens was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Robert had worked at 5 firms, which includes QA3 FINANCIAL LLC, QA3 FINANCIAL CORP., CONCOURSE FINANCIAL GROUP SECURITIES INC., FSC SECURITIES CORPORATION, WADDELL & REED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2007 - May 4, 2009
QA3 FINANCIAL LLC
January 3, 2007 - May 4, 2009
QA3 FINANCIAL CORP.
February 11, 2003 - December 31, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 4, 1987 - December 31, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 15, 1986 - January 13, 1987
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 12, 1986 - December 23, 1986
FSC SECURITIES CORPORATION
March 18, 1985 - October 3, 1986
WADDELL & REED
State Registrations and Notice Filings
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Exams
Current firm
No current employment
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