Stephen F. Lent
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 Francis Lent, who also goes by Stephen France Lent, Stephen Frances Lent, Steve Lent, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 11 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 1997 - July 2, 1997
CITISTREET EQUITIES LLC
April 17, 1997 - June 10, 1997
CITIGROUP GLOBAL MARKETS INC.
July 14, 1995 - October 6, 1995
NATCITY INVESTMENTS, INC.
March 16, 1995 - July 14, 1995
RAFFENSPERGER, HUGHES & CO., INC.
January 17, 1995 - January 27, 1995
AMERICA NORTHCOAST SECURITIES, INC.
November 15, 1993 - March 10, 1994
SOCIETY INVESTMENTS, INC.
July 31, 1993 - September 24, 1993
CITIGROUP GLOBAL MARKETS INC.
February 12, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
September 4, 1990 - February 26, 1993
WELLS FARGO CLEARING SERVICES, LLC
June 30, 1988 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
July 17, 1987 - October 3, 1988
INVEST FINANCIAL CORPORATION
March 24, 1987 - July 16, 1987
CITICORP FINANCIAL SERVICES,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
CITISTREET EQUITIES LLC
CRD#: 7447 / SEC#: , 8-21009
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
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.
