Steven P. Vonharten
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 Patrick Vonharten, who also goes by Steve Vonharten, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 14 firms and has passed the Series 63, SIE 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
May 17, 2017 - December 24, 2019
J.W. COLE FINANCIAL, INC.
April 28, 2015 - April 18, 2017
NATIONAL SECURITIES CORPORATION
March 25, 2014 - April 2, 2015
SCOTTRADE, INC.
May 28, 2010 - March 26, 2014
NATIONAL SECURITIES CORPORATION
August 17, 2009 - May 26, 2010
STONEX SECURITIES INC.
October 4, 2001 - August 17, 2009
EMMETT A LARKIN COMPANY, INC.
April 19, 2000 - October 22, 2001
DONALD & CO. SECURITIES INC.
February 9, 1999 - April 18, 2000
AC FINANCIAL, INC.
January 25, 1999 - February 1, 1999
AC FINANCIAL, INC.
August 25, 1997 - February 5, 1999
ELECTRONIC ACCESS DIRECT, INC.
September 22, 1994 - August 29, 1997
BARRON CHASE SECURITIES, INC.
June 15, 1994 - September 20, 1994
STEIN, SHORE SECURITIES, INC.
January 21, 1991 - June 30, 1994
FIRST ASSET MANAGEMENT, INC.
December 10, 1990 - January 17, 1991
BILTMORE SECURITIES, INC.
November 27, 1990 - December 7, 1990
CHATFIELD DEAN & CO., INC.
February 22, 1989 - December 3, 1990
THE STUART-JAMES COMPANY, 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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| 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.
