Stephen S. Hand
Professional summary
Stephen Sawyer Hand, CIMA® is a registered financial professional currently at HAND SECURITIES, INC located in Houston, Texas.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1989. Stephen has 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Sawyer Hand's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 24, 1998 - Present
HAND SECURITIES, INC
Office #1: 820 Gessner Ste 1250, Houston, TX 77024May 16, 2005 - August 24, 2006
UA CAPITAL ADVISORS, INC.
July 25, 1989 - December 31, 1998
ADVANTAGE CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/27/2004)
(10/7/2009)
(10/7/2009)
(4/8/2005)
(5/6/2004)
(2/6/2012)
(11/9/2001)
(11/7/2001)
(3/17/2004)
(10/7/2009)
(4/28/2004)
(9/21/2009)
(7/13/2011)
(3/23/2004)
(4/5/2004)
(4/8/2004)
(10/7/2009)
(9/14/2004)
(4/1/2004)
(3/17/2004)
(4/1/2004)
(4/23/2004)
(11/2/2001)
(3/23/2004)
(3/19/2004)
(10/7/2009)
(2/28/2012)
(10/7/2009)
(5/13/2025)
(6/30/2004)
(1/5/1999)
(10/26/2001)
(3/17/2004)
(10/7/2009)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 3/20/1991
Corporate Securities Limited Representative ExaminationSeries 28
Date: 11/22/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
HAND SECURITIES, INC
CRD#: 45198 / SEC#: , 8-51001
Contact information
FINRA licenses (38 States and Territories)
Red Flags
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