Stephen D. Palmer
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 Dean Palmer was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 8 firms and has passed the Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2001 - August 2, 2001
MAIN STREET MANAGEMENT COMPANY
September 30, 1996 - February 8, 2001
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
November 27, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 27, 1991 - November 4, 1996
PRUCO SECURITIES, LLC.
March 25, 1991 - July 16, 1991
FIRST OF MICHIGAN CORPORATION
December 4, 1990 - February 27, 1991
FIRST FINANCIAL MONETARY SYSTEMS, INC.
March 1, 1989 - August 3, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 23, 1987 - April 4, 1989
GREAT LAKES EQUITIES CO.
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
MAIN STREET MANAGEMENT COMPANY
CRD#: 547 / SEC#: , 8-12925
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| 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.
