Steven G. Foster
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 Gerard Foster SR, who also goes by Steve Gerard Foster, Steven Gerard Foster, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1996 - September 25, 2024
L.O. THOMAS & CO. INC.
May 19, 1992 - June 27, 1996
WALNUT STREET SECURITIES, INC.
April 23, 1990 - May 22, 1992
AMERICAN CAPITAL CORPORATION
July 13, 1987 - April 25, 1990
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
L.O. THOMAS & CO. INC.
CRD#: 23657 / SEC#: , 8-40875
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RISLEY, JOHN WESLEY JR | PRESIDENT, FINOP, CEO,CCO | 844622 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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