Stephen D. Alves
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 David Alves, who also goes by Stephan David Alves, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 27 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
August 9, 2010 - March 3, 2016
SUMMIT FINANCIAL GROUP INC
August 6, 2010 - March 3, 2016
SUMMIT BROKERAGE SERVICES, INC.
September 14, 2007 - August 9, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 14, 2007 - August 9, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 15, 2002 - October 10, 2007
UBS FINANCIAL SERVICES INC.
December 7, 2001 - October 10, 2007
UBS FINANCIAL SERVICES INC.
May 14, 1998 - December 19, 2001
TUCKER ANTHONY INCORPORATED
January 22, 1996 - May 20, 1998
BARRETT & COMPANY
July 22, 1987 - August 3, 1987
FLEET BROKERAGE SERVICES, INC.
July 22, 1987 - January 30, 1996
AMERICAN SECURITIES & RESEARCH CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
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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