Stephen A. Iposu
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 Adebayor Iposu was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2018 - May 6, 2025
LIFEMARK SECURITIES CORP.
January 3, 2013 - October 24, 2018
FORESTERS EQUITY SERVICES, INC.
May 21, 2009 - December 31, 2012
FORTUNE FINANCIAL SERVICES, INC.
January 1, 2004 - April 8, 2009
VOYA FINANCIAL ADVISORS, INC.
July 23, 2001 - January 1, 2004
LOCUST STREET SECURITIES, INC.
February 22, 1999 - June 28, 2001
QUESTAR CAPITAL CORPORATION
May 14, 1998 - September 25, 1998
OLD KENT FINANCIAL ADVISORS
March 7, 1998 - May 1, 1998
SIGMA FINANCIAL CORPORATION
April 4, 1995 - January 22, 1998
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
December 14, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 14, 1988 - March 8, 1995
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
