Stephen J. Toven
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 James Toven, who also goes by Steve Toven, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2022 - July 13, 2022
KESTRA INVESTMENT SERVICES, LLC
October 8, 2020 - September 24, 2021
M HOLDINGS SECURITIES, INC.
April 21, 2017 - May 8, 2020
KESTRA INVESTMENT SERVICES, LLC
October 5, 2015 - April 20, 2017
LION STREET FINANCIAL, LLC
September 21, 2009 - October 2, 2015
KESTRA INVESTMENT SERVICES, LLC
February 4, 2009 - April 28, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
January 9, 2009 - February 4, 2009
VP DISTRIBUTORS LLC
February 5, 2007 - December 11, 2008
AON SECURITIES LLC
July 15, 2005 - November 9, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 11, 2003 - October 14, 2005
TODD SECURITIES, LLC
July 2, 2001 - October 1, 2002
CLARK SECURITIES, INC.
January 14, 2000 - July 2, 2001
CLARK-BARDES SECURITIES, INC.
November 3, 1993 - July 26, 1999
SCHOENKE & ASSOCIATES SECURITIES CORPORATION
October 2, 1989 - December 31, 1992
CADARET, GRANT & CO., INC.
November 7, 1986 - October 2, 1989
CADARET, GRANT & CO., INC.
November 19, 1985 - November 25, 1986
G. R. PHELPS & CO., INC.
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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
