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Stephan R. Pene

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CRD#: 1776808
SP

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.

Stephan Robert Pene was a registered financial professional .

Stephan is a previously registered financial professional and started their career in finance in 1988. Stephan had worked at 15 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 11, 2004 - February 21, 2024

S.L. REED & COMPANY

BD
CRD#: 40744
LOS ANGELES, CA
Past

October 8, 2004 - February 21, 2024

WINDWARD CAPITAL MANAGEMENT CO

RIA
CRD#: 106908
LOS ANGELES, CA
Past

March 16, 2004 - June 14, 2004

MCGLADREY CAPITAL MARKETS, LLC

BD
CRD#: 47639
COSTA MESA, CA
Past

October 11, 2002 - June 26, 2003

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

December 21, 2001 - June 4, 2003

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

December 21, 2001 - June 12, 2003

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

December 6, 2001 - June 2, 2003

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

November 20, 2001 - June 6, 2003

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

June 28, 1999 - November 28, 2001

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

March 7, 1996 - April 15, 1998

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

March 7, 1996 - June 24, 1999

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
NEWPORT BEACH, CA
Past

March 21, 1995 - August 18, 1995

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA
Past

January 1, 1995 - January 31, 1995

EMMETT A LARKIN COMPANY, INC.

BD
CRD#: 6625
SAN FRANCISCO, CA
Past

June 16, 1994 - December 15, 1994

E*TRADE SECURITIES LLC

BD
CRD#: 29106
JERSEY CITY, NJ
Past

March 25, 1988 - April 5, 1993

GRIFFIN FINANCIAL SERVICES

BD
CRD#: 10823

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/3/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/22/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/27/2004
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/3/1991
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/24/1988
Financial and Operations Principal Examination

Current Firm

SR
S.L. REED & COMPANY
S. L. REED & COMPANY | S.L. REED & COMPANY

CRD#: 40744 / SEC#: , 8-49178

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346
Mailing Address
11111 Santa Monica Boulevard Suite 1200, Los Angeles, CA 90025-3346
Phone number
(310) 893-3030
Established
California since 01/19/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE WINDWARD CAPITAL GROUP, INC.SOLE SHAREHOLDER
BRANT, DAVID ROBERTFINOPS OFFICER2718478
JOHNSON, JEREMY RONALDDIRECTOR OF COMPLIANCE2205695
RISSER, SUZANNE LOUISECCO1303694
ROBILLARD, JOSEPH COLINCEO & PRESIDENT5865733

Disclosures

Regulatory Event1

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.

Company Information

S.L. REED & COMPANY

CRD#: 40744

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Contact information

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