Stephen M. Folan
Professional summary
Stephen Martin Folan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Stephen had worked at 8 firms, which includes FHN FINANCIAL SECURITIES CORP., GOLDMAN SACHS EXECUTION & CLEARING L.P., BAIRD PATRICK & CO. INC., SMH CAPITAL INVESTMENTS LLC, KEOGLER MORGAN & COMPANY INC., LCP CAPITAL CORP., EMANUEL AND COMPANY, HANOVER STERLING & COMPANY LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2005 - February 11, 2011
FHN FINANCIAL SECURITIES CORP.
July 30, 1998 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 20, 1996 - March 18, 1998
BAIRD, PATRICK & CO., INC.
February 7, 1996 - August 20, 1996
SMH CAPITAL INVESTMENTS LLC
May 11, 1995 - February 9, 1996
KEOGLER, MORGAN & COMPANY, INC.
August 1, 1994 - May 18, 1995
LCP CAPITAL CORP.
July 6, 1993 - August 2, 1994
EMANUEL AND COMPANY
March 9, 1992 - July 23, 1993
HANOVER, STERLING & COMPANY LTD.
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
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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