Stephen B. Webster
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 Babcock Webster was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 7 firms and has passed the Series 63, Series 65 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
January 7, 2008 - March 15, 2013
G.RESEARCH, LLC
November 3, 2005 - December 31, 2005
JANCO PARTNERS, INC.
September 21, 1998 - February 6, 2002
WELLS FARGO CLEARING SERVICES, LLC
July 26, 1996 - September 23, 1998
PRUDENTIAL EQUITY GROUP, LLC
March 27, 1996 - July 10, 1996
G.RESEARCH, LLC
September 21, 1993 - March 24, 1994
CHARLES SCHWAB & CO., INC.
April 17, 1990 - March 30, 1992
BOSTON INSTITUTIONAL SERVICES INCORPORATED
September 7, 1989 - February 3, 1990
G.RESEARCH, LLC
July 19, 1988 - June 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
G.RESEARCH, LLC
CRD#: 7353 / SEC#: , 8-21373
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN GROUP HOLDING CO. | PARENT COMPANY/OWNER | |
| AMABILE, VINCENT M | PRESIDENT | 4356758 |
| FERNANDEZ, JOSEPH LOUIS | FINANCIAL AND OPERATIONS PRINCIPAL | 1968118 |
| GOLDMAN, DAVID MARC | ASSISTANT SECRETARY | 3191963 |
| GREENHAW, PAUL DANIEL | CHIEF COMPLIANCE OFFICER | 1820935 |
| MCGINITY, CORNELIUS VINCENT | OFFICE OF THE CHAIRMAN | 1706960 |
Disclosures
| Regulatory Event | 5 |
| 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.
