Steven D. Yarn
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 Dean Yarn was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1990. Steven had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2007 - December 31, 2009
YARN & COMPANY, INC.
November 3, 2000 - November 9, 2001
SECURITIES AMERICA, INC.
June 23, 1999 - September 11, 2000
INVESTACORP, INC.
January 26, 1999 - June 24, 1999
SUNAMERICA SECURITIES, INC.
January 1, 1998 - January 6, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 8, 1994 - January 1, 1998
NATIONSSECURITIES
March 19, 1993 - December 31, 1994
WOODBURY FINANCIAL SERVICES, INC.
November 19, 1992 - January 19, 1993
METLIFE INVESTORS DISTRIBUTION COMPANY
March 5, 1990 - February 22, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 5, 1990 - February 22, 1991
PRUCO SECURITIES, LLC.
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
No current employment
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.
