Stephen P. Endlar
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.
Stephen Paul Endlar was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1965. Stephen had worked at 9 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2009 - August 23, 2011
MOORS & CABOT, INC.
June 4, 2009 - November 13, 2009
JESUP & LAMONT SECURITIES CORP
June 23, 1999 - May 21, 2009
CITIGROUP GLOBAL MARKETS INC.
June 26, 1984 - June 22, 1999
LEHMAN BROTHERS INC.
February 22, 1978 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
April 23, 1975 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
November 13, 1974 - March 20, 1975
ABRAHAM & CO., INC.
November 30, 1973 - December 2, 1974
GH WALKER LAIRD INCORPORATED
September 29, 1965 - November 30, 1973
G. H. WALKER, LAIRD INCORPORATED
Primary Firm SEC Registration
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 8/24/1959
Registered Representative ExaminationCurrent Firm
MOORS & CABOT, INC.
CRD#: 594 / SEC#: 801-48726, 8-23060
Contact information
SEC notice filing (35 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EIGHTEEN NINETY PARTNERS, LLC | SHAREHOLDER | |
| BRAUN, MICHAEL CHARLES | EVP/COO/DIRECTOR | 2005370 |
| CUETARA, JOSEPH PHILIP | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | 58308 |
| GARRETT, MARK DAVID | DIRECTOR/CO-CHAIRMAN/TRUSTEE | 5563014 |
| HILDRETH, MICHAEL CHRISTOPHER | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | 2386839 |
| JOYCE, DANIEL MICHAEL | DIRECTOR | 1060819 |
| KELLIHER, KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | 4146307 |
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 3,437,764,388 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2025 | ||
| 12/04/2023 | ||
| 01/12/2023 |
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.
