Steven P. Demarest
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 Patrick Demarest was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2021 - June 30, 2022
INTELLIGENT 401K, LLC
May 21, 2020 - October 8, 2020
OPTIMX SECURITIES LLC
October 22, 2018 - December 13, 2018
OSAIC FA, INC.
December 9, 1999 - March 29, 2016
MB TRADING
June 13, 1997 - February 25, 2009
TERRA NOVA FINANCIAL, LLC
May 23, 1997 - May 15, 1998
LASALLE ST SECURITIES, L.L.C.
February 1, 1996 - June 3, 1997
PIPER SANDLER & CO.
October 11, 1992 - February 1, 1996
UBS FINANCIAL SERVICES INC.
April 30, 1992 - October 9, 1992
DICKINSON & CO.
June 21, 1990 - September 19, 1990
DICKINSON & CO.
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 55
Date: 1/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
INTELLIGENT 401K, LLC
CRD#: 310345 / SEC#: 801-119531
Contact information
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 1,407,027 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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