Stephen N. Foster

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CRD#: 1438736

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 Nall Foster was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 19, 2012 - November 27, 2012

COMPERIO RETIREMENT CONSULTING, INC.

RIA

CRD#: 140786

CARY, NC

Past

February 8, 2010 - March 8, 2010

PROMANAGE, LLC

RIA

CRD#: 133357

CHICAGO, IL

Past

January 20, 2005 - December 8, 2005

SECURITY DISTRIBUTORS

CRD#: 3336

TOPEKA, KS

Past

May 2, 1990 - November 15, 2004

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

April 25, 1990 - November 15, 2004

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

September 26, 1988 - April 25, 1990

UR FINANCIAL, INC.

CRD#: 10509

Past

April 11, 1988 - August 31, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 17, 1985 - April 11, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

COMPERIO RETIREMENT CONSULTING, INC.

CRD#: 140786 / SEC#: 801-66831

RIA

Registered Investment Advisory firm - (5/30/2006 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/31/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/2/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/31/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/5/1995

Investment Company Products/Variable Contracts Principal Examination

Current Firm

COMPERIO RETIREMENT CONSULTING, INC.

CRD#: 140786 / SEC#: 801-66831

RIA

Registered Investment Advisory firm - (5/30/2006 Approved)

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Contact information

Main Address

2500 Regency Parkway, Cary, NC 27518

Mailing Address

2500 Regency Parkway, Cary, NC 27518

Phone number

(919) 401-3500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

COMPERIO ADV PART 2 (4/21/2025)

Regulatory assets under management

Total Number of Accounts	39
AUM (Assets Under Management)	$ 2,012,151,086

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.

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Advisor Monitoring

Firm Stability Insights

Stephen N. Foster

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PROMANAGE, LLC

SECURITY DISTRIBUTORS

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

UR FINANCIAL, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

COMPERIO RETIREMENT CONSULTING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/2002

Series 63

Date: 1/2/1986

Series 3

Date: 1/31/1986

Series 7

Date: 12/14/1985

Series 26

Date: 10/5/1995

Current Firm

COMPERIO RETIREMENT CONSULTING, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPERIO RETIREMENT CONSULTING, INC.

TRUST BUT VERIFY

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