Stephen P. Hines
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 Paul Hines was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 15 firms and has passed the Series 63, Series 79TO, SIE, 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
July 27, 2018 - October 30, 2025
BA SECURITIES, LLC
August 31, 2017 - February 2, 2018
MC SQUARE CAPITAL, LLC
June 24, 2015 - August 3, 2017
MCP SECURITIES, LLC
October 9, 2014 - May 15, 2015
MLV & CO. LLC
September 12, 2011 - September 30, 2014
FIRST AVENUE
December 1, 2009 - November 10, 2011
MADISON WILLIAMS AND COMPANY
April 16, 2009 - December 16, 2009
SANDERS MORRIS LLC
January 15, 2009 - February 20, 2009
TEJAS SECURITIES GROUP, INC.
June 7, 2007 - April 7, 2009
BUTLER CAPITAL PARTNERS
April 1, 2005 - February 26, 2007
RAYMOND JAMES INSURANCE GROUP, INC.
May 20, 2002 - October 7, 2003
EATON PARTNERS, LLC
April 4, 1997 - January 9, 2000
THE BEACON GROUP CAPITAL SERVICES, L.L.C.
September 30, 1996 - April 30, 1997
THE BRIDGEFORD GROUP, INC.
February 12, 1993 - February 9, 1996
PERSHING LLC
April 23, 1985 - January 7, 1993
GOLDMAN SACHS & CO. LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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