Stephen W. Bracken
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 Wesley Bracken was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 10 firms and has passed the Series 65, Series 63, 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
January 22, 2007 - October 8, 2009
ANDES CAPITAL GROUP, LLC
September 27, 2006 - January 19, 2007
CHICAGO INVESTMENT GROUP, LLC
September 8, 2004 - March 9, 2005
EDWARD JONES
February 10, 2000 - June 27, 2000
NIPHIX INVESTMENTS INC.
July 16, 1996 - October 12, 1998
RICHARD B. VANCE & COMPANY
October 10, 1995 - November 16, 1995
ROSENTHAL GLOBAL SECURITIES LLC
December 16, 1992 - August 11, 1995
SANWA UNIVERSAL SECURITIES CO., LLC
December 16, 1992 - August 11, 1995
SANWA SECURITIES (USA) CO., L.P.
May 2, 1990 - November 15, 1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
October 23, 1985 - January 12, 1987
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ANDES CAPITAL GROUP, LLC
CRD#: 139212 / SEC#: , 8-67202
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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