Stephen K. Gilley
Professional summary
Stephen Keith Gilley was barred by the SEC 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 3 firms, which includes RICHARD B. VANCE & COMPANY, USLIFE EQUITY SALES CORP., PFS INVESTMENTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 1998 - December 31, 1998
RICHARD B. VANCE & COMPANY
March 17, 1995 - December 31, 1995
USLIFE EQUITY SALES CORP.
January 24, 1994 - March 17, 1994
USLIFE EQUITY SALES CORP.
October 12, 1987 - February 2, 1993
PFS INVESTMENTS INC.
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
RICHARD B. VANCE & COMPANY
CRD#: 3656 / SEC#: , 8-2997
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
