Stephen Sawyer Hand
CIMA®Professional Summary
Stephen Sawyer Hand, CIMA® was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1989 - 2006. Stephen had worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, SIE, Series 7, Series 62, Series 6, Series 14, Series 28, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Mar 1991Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1989About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Nov 2004About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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