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SS

Stephen P. Saucier

JOHNSON RICE & COMPANY L.L.C.
New Orleans, LA 70113-7105
Some features on this profile are disabled
CRD#: 1626660
SS

Professional summary

Stephen Patrick Saucier, who also goes by Stephen P Saucier, is a registered financial professional currently at JOHNSON RICE & COMPANY L.L.C. located in New Orleans, Louisiana.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1988. Stephen has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen P Saucier

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Patrick Saucier's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 13, 2023 - Present

JOHNSON RICE & COMPANY L.L.C.

Office #1: 639 Loyola Avenue-ste 2775, New Orleans, LA 70113-7105
BD
CRD#: 19524
New Orleans, LA
Past

February 26, 2021 - June 11, 2021

WAYPOINT DIRECT INVESTMENTS, LLC

BD
CRD#: 132475
STAMFORD, CT
Past

June 6, 2000 - June 4, 2020

JOHNSON RICE & COMPANY L.L.C.

BD
CRD#: 19524
NEW ORLEANS, LA
Past

April 26, 2000 - June 2, 2000

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

July 20, 1988 - April 26, 2000

HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.

BD
CRD#: 414
NEW ORLEANS, LA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/13/2023)
RR
Connecticut
(3/13/2023)
RR
Florida
(3/13/2023)
RR
Illinois
(3/13/2023)
RR
Louisiana
(3/13/2023)
RR
New Jersey
(3/13/2023)
RR
New York
(3/13/2023)
RR
Texas
(3/13/2023)
RR
Wisconsin
(3/13/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/12/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

JR
JOHNSON RICE & COMPANY L.L.C.
JOHNSON RICE & COMPANY | LESLIE ASSOCIATES | JOHNSON RICE & COMPANY L.L.C.

CRD#: 19524 / SEC#: , 8-37567

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
639 Loyola Avenue-ste 2775, New Orleans, LA 70113-7105
Mailing Address
639 Loyola Avenue-ste 2775, New Orleans, LA 70113
Phone number
(504) 584-1229
Established
Louisiana since 06/01/1987
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHARBONNET, JOSEPH STOREYMEMBER/SALES MANAGER2456551
CULICCHIA, LEONARD PETERMEMBER1912845
CUMMINGS, JOSHUA CRAIGMEMBER/HEAD OF CORPORATE FINANCE2971569
NALTY, MORGAN SHAWMEMBER1849366
ROWAN, JOHN FORNEY JRMEMBER2262387
SHERIDAN, MARKMEMBER2316138
VARISCO JR, PAUL JOSEPHMEMBER4376671
VARISCO, VINNIE RAMELMEMBER/HEAD OF TRADING2707435
CUMMINGS, CLAYTON PAULMEMBER4897142
GREEN, GEORGE ROBBERTMEMBER1090141
GUNDLACH, MARK LEWISMEMBER3100859
MALLOY, MARTIN WHITTIERMEMBER/HEAD OF RESEARCH/CHIEF FINANCIAL OFFICER2423461
MARCOTTE, BRIAN TROYCHIEF COMPLIANCE OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER1182101
MEADE, CHARLES ARTHURMEMBER5587028
SEREMET, JOSEPH JOHN IIIMEMBER4990513

Disclosures

Regulatory Event7
Arbitration2
Bond1

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.

Company Information

JOHNSON RICE & COMPANY L.L.C.

CRD#: 19524New Orleans, LA 70113-7105

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