Steven K. Mcginnis
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.
Steven Kent Mcginnis, who also goes by Steve Mcginnis, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 6 firms and has passed the Series 63 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 19, 2005 - June 6, 2012
LORING WARD SECURITIES INC.
August 27, 2003 - November 18, 2004
COINBASE CAPITAL MARKETS CORP
February 8, 2000 - June 5, 2003
SII INVESTMENTS, INC.
May 10, 1999 - May 13, 2003
NATIONAL PLANNING CORPORATION
March 31, 1999 - May 10, 1999
MUTUAL SERVICE CORPORATION
June 3, 1996 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, 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
LORING WARD SECURITIES INC.
CRD#: 46337 / SEC#: , 8-51381
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LORING WARD HOLDINGS INC. | SHAREHOLDER | |
| CLINTON, MICHAEL RAY | TREASURER & CHIEF FINANCIAL OFFICER | 2721577 |
| DJEU, DEBORAH DAPHNE | CHIEF COMPLIANCE OFFICER | 2530202 |
| LEE, HOWARD HOA | CHIEF OPERATING OFFICER | 4640471 |
| LIU, NAN | FINOP | 5275954 |
| POTTS, ALEXANDER BENNETT | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1765245 |
| WONG, RAYMOND YAT CHI | MUNICIPAL SECURITIES PRINCIPAL | 4537916 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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