Stephen C. Bath
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 Charles Bath was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 5 firms and has passed the Series 63 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
January 22, 2007 - October 31, 2012
FIRST HEARTLAND CAPITAL, INC.
January 12, 2001 - December 31, 2006
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 12, 1999 - December 31, 2000
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 12, 1998 - December 31, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 6, 1997 - May 20, 1998
MID-ATLANTIC SECURITIES, INC.
June 19, 1991 - January 9, 1997
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 15, 1989 - August 14, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 15, 1989 - August 14, 1990
EQUITABLE ADVISORS, LLC
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
FIRST HEARTLAND CAPITAL, INC.
CRD#: 32460 / SEC#: , 8-46008
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 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.
