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Stephen M. Oliveira

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CRD#: 1880054
SO

Professional summary

Stephen Michael Oliveira was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Stephen had worked at 15 firms, which includes MAINSPRING CAPITAL MANAGEMENT LLC, WAVECREST SECURITIES LLC, THORNES & ASSOCIATES INC. INVESTMENT SECURITIES, EQUINOX SECURITIES INC., ZECCO TRADING INC., FINANCIAL WEST GROUP, OLD SLIP CAPITAL MANAGEMENT INC., GLENFED BROKERAGE SERVICES, SUNAMERICA SECURITIES INC., COREBRIDGE CAPITAL SERVICES INC., GLOBAL ATLANTIC DISTRIBUTORS LLC, ANCHOR NATIONAL FINANCIAL SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, F.D. ROBERTS SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Oliveira

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

May 28, 2014 - June 2, 2016

MAINSPRING CAPITAL MANAGEMENT, LLC

BD
CRD#: 168756
PASADENA, CA
Past

February 21, 2014 - May 16, 2016

WAVECREST SECURITIES LLC

BD
CRD#: 160135
BRENTWOOD, TN
Past

April 15, 2013 - July 18, 2013

THORNES & ASSOCIATES, INC. INVESTMENT SECURITIES

BD
CRD#: 40868
REDLANDS, CA
Past

June 18, 2009 - November 10, 2016

EQUINOX SECURITIES, INC.

RIA
CRD#: 145790
REDLANDS, CA
Past

April 22, 2008 - May 11, 2016

EQUINOX SECURITIES, INC.

BD
CRD#: 145790
REDLANDS, CA
Past

June 29, 2005 - June 19, 2008

ZECCO TRADING, INC.

BD
CRD#: 135398
ONTARIO, CA
Past

July 26, 2004 - June 22, 2005

FINANCIAL WEST GROUP

RIA
CRD#: 16668
PHELAN, CA
Past

January 13, 2000 - June 22, 2005

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

April 24, 1999 - December 17, 1999

OLD SLIP CAPITAL MANAGEMENT, INC.

BD
CRD#: 7360
NEW YORK, NY
Past

February 24, 1998 - July 1, 1998

GLENFED BROKERAGE SERVICES

BD
CRD#: 13648
GLENDALE, CA
Past

June 4, 1997 - December 23, 1997

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

January 4, 1996 - April 8, 1997

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

November 17, 1993 - March 6, 1995

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

May 19, 1992 - October 14, 1993

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

October 2, 1989 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774
Past

February 23, 1989 - June 6, 1989

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 23, 1989 - June 6, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

October 19, 1988 - October 2, 1989

F.D. ROBERTS SECURITIES, INC.

BD
CRD#: 693

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
IAR
Series 66
Date: 7/22/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/30/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/2/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 2/1/2008
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/9/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/24/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/21/2000
General Securities Principal Examination

Current Firm

MC
MAINSPRING CAPITAL MANAGEMENT, LLC
MAINSPRING CAPITAL MANAGEMENT, LLC

CRD#: 168756 / SEC#: , 8-69326

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

Main Address
3452 E. Foothill Blvd., Suite 800, Pasadena, CA 91107
Mailing Address
1108 Diamond Ave, South Pasadena, CA 91030
Phone number
(626) 345-5897
Established
California since 06/18/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AGA HOLDINGS CORP. INC.OWNER
THORNTON, STEVEN LEEFINOP4496384
THORNTON, STEVEN LEECCO & PRINCIPAL4496384

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

MAINSPRING CAPITAL MANAGEMENT, LLC

CRD#: 168756

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