Stephen B. Faber
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 Brooks Faber, who also goes by Steve Faber, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 2002 - October 31, 2022
PFM FUND DISTRIBUTORS, INC.
January 7, 2002 - October 22, 2003
PFM, INC.
October 1, 1999 - August 7, 2000
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1991 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 25, 1990 - January 1, 1991
BUTCHER & SINGER 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
PFM FUND DISTRIBUTORS, INC.
CRD#: 114474 / SEC#: , 8-53496
Contact information
Documents
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.
