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Steven M. Stratton
CORNERSTONE SECURITIES LLC
Shady Cove, OR
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CRD#: 1368111
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Professional summary
Steven Michael Stratton is a registered financial advisor currently at CORNERSTONE SECURITIES LLC located in Shady Cove, Oregon.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Steven has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Steven M. Stratton dba SNS Global, Inc- 1018 Chevney Way, Shady Cove, Oregon 97539 ; Investment related; Fixed insurance saes & svcs; Sales Rep; Start date 8/1984; 160-240 hrs/mnth; 11 hrs/mnth during trading. 2)Upper Rogue Rotary- 03/2019 to Present; Philanthropic Community Service. 3)Legal Shield 11/2019 - Present; Member/Distributor of legal counsel membership services.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Stratton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 4, 2025 - Present
CORNERSTONE SECURITIES LLC
RIA
CRD#: 140379
Shady Cove, OR
Past
November 19, 2019 - December 31, 2024
CORNERSTONE SECURITIES LLC
RIA
CRD#: 140379
Shady Cove, OR
Past
October 10, 2017 - November 18, 2019
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
Shady Cove, OR
Past
October 10, 2017 - November 18, 2019
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
Shady Cove, OR
Past
June 30, 2006 - November 10, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SAN MARTIN, CA
Past
June 30, 2006 - November 10, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SAN MARTIN, CA
Past
June 4, 2004 - July 10, 2006
TOWER SQUARE SECURITIES, INC.
RIA
CRD#: 833
SAN JOSE, CA
Past
June 4, 2004 - July 10, 2006
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
SAN JOSE, CA
Past
February 19, 2003 - September 10, 2004
INTEGRATED FINANCIAL & INSURANCE SERVICES
RIA
CRD#: 123947
SAN JOSE, CA
Past
February 14, 2003 - June 14, 2004
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
SAN JOSE, CA
Past
February 11, 2003 - June 14, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
March 1, 2001 - February 3, 2003
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
SAN JOSE, CA
Past
May 3, 1999 - February 3, 2003
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
March 1, 1996 - August 16, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
February 23, 1996 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
June 14, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
September 25, 1985 - June 13, 1995
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CORNERSTONE SECURITIES LLC
CORNERSTONE SECURITIES LLC
CRD#: 140379 / SEC#: 801-133715
RIA
Registered Investment Advisory firm - (6/20/2025 Approved)Arkansas
Registered Investment Advisory firm - (2/2/2024 Terminated)California
Registered Investment Advisory firm - (6/25/2018 Approved)Connecticut
Registered Investment Advisory firm - (12/31/2013 Terminated)Florida
Registered Investment Advisory firm - (12/5/2018 Approved)Illinois
Registered Investment Advisory firm - (5/20/2014 Approved)Kansas
Registered Investment Advisory firm - (5/19/2006 Approved)Louisiana
Registered Investment Advisory firm - (12/20/2012 Terminated)Missouri
Registered Investment Advisory firm - (4/24/2006 Approved)North Carolina
Registered Investment Advisory firm - (5/19/2017 Approved)Oklahoma
Registered Investment Advisory firm - (12/20/2012 Terminated)Oregon
Registered Investment Advisory firm - (11/19/2019 Approved)Texas
Registered Investment Advisory firm - (3/14/2018 Approved)Wisconsin
Registered Investment Advisory firm - (12/31/2013 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(2/4/2025)
IAR
Oregon(2/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CS
CORNERSTONE SECURITIES LLC
CORNERSTONE SECURITIES LLC
CRD#: 140379 / SEC#: 801-133715
RIA
Registered Investment Advisory firm - (6/20/2025 Approved)Arkansas
Registered Investment Advisory firm - (2/2/2024 Terminated)California
Registered Investment Advisory firm - (6/25/2018 Approved)Connecticut
Registered Investment Advisory firm - (12/31/2013 Terminated)Florida
Registered Investment Advisory firm - (12/5/2018 Approved)Illinois
Registered Investment Advisory firm - (5/20/2014 Approved)Kansas
Registered Investment Advisory firm - (5/19/2006 Approved)Louisiana
Registered Investment Advisory firm - (12/20/2012 Terminated)Missouri
Registered Investment Advisory firm - (4/24/2006 Approved)North Carolina
Registered Investment Advisory firm - (5/19/2017 Approved)Oklahoma
Registered Investment Advisory firm - (12/20/2012 Terminated)Oregon
Registered Investment Advisory firm - (11/19/2019 Approved)Texas
Registered Investment Advisory firm - (3/14/2018 Approved)Wisconsin
Registered Investment Advisory firm - (12/31/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6710 W 121st St Suite 200, Overland Park, KS 66209
Mailing Address
Phone number
(913) 538-5483
Established
Firm type
Fiscal year end
# of Employees
10
Documents
Regulatory assets under management
| Total Number of Accounts | 800 |
| AUM (Assets Under Management) | $ 175,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
