Steven P. Grager

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CRD#: 1636107

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.

Steven Paul Grager, who also goes by Steve Grager, was a registered financial advisor .

Steven is a previously registered financial advisor and started their career in finance in 1987. Steven had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Grager

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 16, 2011 - October 15, 2012

DELPHI SECURITIES, CORP

CRD#: 156529

DRIPPING SPRINGS, TX

Past

December 21, 2007 - June 14, 2011

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

DANVILLE, CA

Past

December 18, 2007 - June 14, 2011

CETERA WEALTH SERVICES, LLC

CRD#: 13572

DANVILLE, CA

Past

June 19, 2002 - December 21, 2007

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

DANVILLE, CA

Past

June 18, 2001 - December 14, 2007

ASSOCIATED SECURITIES CORP.

RIA

CRD#: 12969

DANVILLE, CA

Past

October 11, 1999 - December 14, 2007

ASSOCIATED SECURITIES CORP.

CRD#: 12969

DANVILLE, CA

Past

April 2, 1999 - December 31, 2014

DELPHI WEALTH ADVISORS

RIA

CRD#: 127322

DANVILLE, CA

Past

September 22, 1998 - October 1, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 24, 1994 - September 25, 1998

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

September 6, 1991 - July 14, 1994

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

May 14, 1987 - December 31, 1990

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/10/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/9/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 8/25/1987

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/10/1987

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/20/1987

General Securities Principal Examination

Current Firm

DELPHI SECURITIES, CORP

DELPHI SECURITIES CORPORATION | DELPHI WEALTH ADVISORS | DELPHI SECURITIES, CORP

CRD#: 156529 / SEC#: , 8-68803

Terminated by SEC on 01/25/2013

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Contact information

Main Address

Mailing Address

Phone number

Established

Nevada since 11/02/2010

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GRAGER, CLARA ANNE	100% OWNER AND CCO

Disclosures

Regulatory Event	1
Arbitration	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.

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Firm Stability Insights

Steven P. Grager

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

ASSOCIATED SECURITIES CORP.

DELPHI WEALTH ADVISORS

UBS FINANCIAL SERVICES INC.

PACIFIC SELECT DISTRIBUTORS, LLC

MONY SECURITIES CORPORATION

AVANTAX INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/10/1992

Series 63

Date: 3/9/1987

Series 7

Date: 3/21/1987

Series 53

Date: 8/25/1987

Series 4

Date: 8/10/1987

Series 24

Date: 7/20/1987

Current Firm

DELPHI SECURITIES, CORP

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DELPHI SECURITIES, CORP

TRUST BUT VERIFY

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