Stephen A. Rettig
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 A Rettig was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2020 - November 18, 2020
ALPHASTAR CAPITAL MANAGEMENT
August 1, 2011 - September 26, 2019
INSURANCE & BENEFITS CONSULTING, INC.
January 9, 2004 - December 31, 2010
L.M. KOHN & COMPANY
February 27, 1997 - December 31, 2010
L.M. KOHN & COMPANY
January 29, 1992 - August 29, 1996
PRINCIPAL SECURITIES, INC.
May 26, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
December 23, 1986 - May 8, 1987
JACQUES-MILLER INVESTMENT COMPANY
June 25, 1986 - November 5, 1991
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
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
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
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.
