Steven D. Overby
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 Dwain Overby was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3 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
December 8, 2022 - May 31, 2023
DCF, LLC
October 25, 2018 - December 17, 2021
MORGAN STANLEY
October 23, 2018 - December 17, 2021
MORGAN STANLEY
October 1, 1990 - February 22, 1991
SUNPOINT SECURITIES, INC.
May 1, 1990 - September 28, 1990
A. G. EDWARDS & SONS, INC.
July 18, 1989 - October 14, 1989
BLINDER, ROBINSON & CO., INC.
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
Series 7TO
Date: 10/23/2018
General Securities Representative ExaminationCurrent Firm
DCF, LLC
CRD#: 149102 / SEC#: , 8-68111
Contact information
FINRA licenses (6 States and Territories)
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.
