Stephen K. Brandt
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 Brandt was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 15 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 8, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2025 - October 23, 2025
SPRINKLEBROKERAGE, INC.
January 3, 2020 - June 29, 2020
SPENCER-WINSTON SECURITIES CORPORATION
September 14, 2018 - March 15, 2023
AEON CAPITAL INC
January 4, 2018 - April 16, 2018
WYNSTON HILL CAPITAL, LLC
August 24, 2009 - May 5, 2014
SPARTAN CAPITAL SECURITIES, LLC
August 22, 2008 - March 31, 2016
PAS CAPITAL, LLC
November 18, 2005 - July 16, 2008
CARR SECURITIES CORPORATION
July 7, 2003 - August 7, 2006
KALIN ASSOCIATES, INC.
November 21, 2002 - November 20, 2003
EARLYBIRDCAPITAL, INC.
April 8, 2002 - July 23, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 14, 2000 - September 13, 2000
G.M.R. & CO SECURITIES, LLC
February 19, 1999 - May 9, 2000
SALEM FINANCIAL SYSTEMS, INC.
April 1, 1996 - January 28, 1998
LEK SECURITIES CORPORATION
November 21, 1989 - July 10, 1995
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 15, 1984 - November 3, 1986
SPEAR, LEEDS & KELLOGG SECURITIES INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 9/7/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 5/26/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SPRINKLEBROKERAGE, INC.
CRD#: 285216 / SEC#: , 8-69828
Contact information
FINRA licenses (21 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPRINKLECAPITAL HOLDING, INC | OWNER | |
| WALLIN, JOHN ALEXANDER | PRESIDENT & CCO | 6000899 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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