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.
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
What does exam status mean?
Series 99TO
Passed: 1/2/2023
Operations Professional ExaminationSeries 62
Passed: 3/20/1991
Series 6
Passed: 7/24/1989
Series 28
Passed: 11/22/2004
FINRA
Current Firm
HAND SECURITIES, INC
CRD#: 45198 / SEC#: , 8-51001
Contact information
FINRA licenses (38 States and Territories)
Red Flags
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