Stephen H. Chriest
Professional summary
Stephen Henry Chriest was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Stephen had worked at 6 firms, which includes MUTUAL SERVICE CORPORATION, FOOTHILL SECURITIES INC., HERRMANN SECURITIES INC., FIRST AFFILIATED SECURITIES, PFG SECURITIES INC., WASHINGTON NATIONAL EQUITY COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1996 - September 18, 2001
MUTUAL SERVICE CORPORATION
May 7, 1991 - December 17, 1996
FOOTHILL SECURITIES, INC.
November 29, 1990 - May 24, 1991
HERRMANN SECURITIES, INC.
January 30, 1990 - December 12, 1990
FOOTHILL SECURITIES, INC.
August 25, 1989 - January 27, 1990
FIRST AFFILIATED SECURITIES
September 8, 1988 - August 25, 1989
PFG SECURITIES, INC.
June 8, 1987 - September 28, 1988
WASHINGTON NATIONAL EQUITY COMPANY
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
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
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.
