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SS

Stephen T. Stark

STARK FINANCIAL INDUSTRIES LLC
Thousand Oaks, CA 91360
Some features on this profile are disabled
CRD#: 1468043
SS

Professional summary

Stephen Thomas Stark JR is a registered financial professional currently at STARK FINANCIAL INDUSTRIES LLC located in Thousand Oaks, California.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 2 firms and has passed the Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 24, Series 27 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Stephen Thomas Stark JR'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®
None

Experience

Current

November 15, 1989 - Present

STARK FINANCIAL INDUSTRIES LLC

Office #1: 515 Marin Street, Suite 416, Thousand Oaks, CA 91360
BD
CRD#: 25169
Thousand Oaks, CA
Past

March 19, 1986 - September 23, 1989

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/4/1989)

Exams

General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 8/4/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/6/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/22/1991
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/10/1989
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SF
STARK FINANCIAL INDUSTRIES LLC
I. E. INVESTMENTS, INC. | STARK, SALTER & SMITH | STARK MUNICIPAL BROKERS | STARK FINANCIAL INDUSTRIES LLC | SMITH, PETERS & STARK

CRD#: 25169 / SEC#: , 8-41598

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
3007 Cordoba Ranch Blvd, Lutz, FL 33559
Mailing Address
515 Marin Street, Suite 416, Thousand Oaks, CA 91360
Phone number
(818) 735-9860
Established
Florida since 07/31/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
APPLE BLOSSOM VENTURES, LLCOWNER
BEARDSLEY, DAVID ALAN IICEO5953266
CHASE, KELLIE MARIEFINOP / PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER / SECRETARY6916986
STARK, STEPHEN THOMAS JRCCO / AML COMPLIANCE OFFICER1468043

Disclosures

Regulatory Event3

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.

Company Information

STARK FINANCIAL INDUSTRIES LLC

CRD#: 25169Thousand Oaks, CA 91360

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