Stephen T. Tradd
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 Thomas Tradd, who also goes by Steve Tradd, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2002 - February 8, 2017
FISHER INVESTMENTS
November 23, 1992 - September 26, 2001
FIDELITY BROKERAGE SERVICES LLC
October 18, 1990 - November 20, 1992
IDS LIFE INSURANCE COMPANY
October 18, 1990 - November 20, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
May 23, 1989 - October 9, 1990
CINCINNATI ANALYSTS, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Series 8
Date: 12/2/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
