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SE

Stephen J. Essrig

INTEGRITY FUNDS DISTRIBUTOR
Minot, ND 58703
Some features on this profile are disabled
CRD#: 202466
SE

Professional summary

Stephen Jay Essrig is a registered financial professional currently at INTEGRITY FUNDS DISTRIBUTOR, LLC located in Minot, North Dakota.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1974. Stephen has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Jay Essrig's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 14, 2011 - Present

INTEGRITY FUNDS DISTRIBUTOR, LLC

Office #1: #1 North Main Street, Minot, ND 58703Office #2: 1 North Main Street, Minot, ND 58703-3189
BD
CRD#: 26293
Minot, ND
Past

December 19, 2011 - October 15, 2014

TREVOR, COLE, REID, & MONROE, INC.

BD
CRD#: 11065
NEW YORK, NY
Past

December 15, 2010 - November 2, 2011

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
NEW YORK, NY
Past

August 25, 2010 - October 25, 2011

TREVOR, COLE, REID, & MONROE, INC.

BD
CRD#: 11065
NEW YORK, NY
Past

February 3, 1997 - November 17, 2008

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

December 6, 1994 - October 31, 1996

MFS FUND DISTRIBUTORS, INC.

BD
CRD#: 31052
BOSTON, MA
Past

February 25, 1988 - December 31, 1994

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
Past

March 18, 1987 - December 31, 1994

MFS FINANCIAL SERVICES, INC.

BD
CRD#: 18309
BOSTON, MA
Past

January 1, 1987 - January 9, 1987

MASSACHUSETTS FINANCIAL SERVICES COMPANY

BD
CRD#: 7383
Past

March 18, 1974 - November 2, 1979

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Maine
(11/2/2018)
RR
New Jersey
(1/20/2012)
RR
New York
(11/14/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/16/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/3/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/29/1986
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 3/14/1974
Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IF
INTEGRITY FUNDS DISTRIBUTOR, LLC
INTEGRITY FUNDS DISTRIBUTOR, INC. | THE RANSON COMPANY, INC. | RANSON CAPITAL CORPORATION | INTEGRITY FUNDS DISTRIBUTOR, LLC

CRD#: 26293 / SEC#: , 8-42561

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1 North Main Street, Minot, ND 58703-3189
Mailing Address
Po Box 500, Minot, ND 58702-0500
Phone number
(701) 852-5292
Established
Kansas since 01/02/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CORRIDOR INVESTORS, LLCPARENT
HANSON, JONATHAN RAYSECRETARY5907963
KLEBE, KRAIG ERIKTREASURER3090758
RADKE, SHANNON DOYLEPRESIDENT1894150
TEETS, BROCK JASONVICE PRESIDENT3196570
WILLIAMS, JOHN RAYCCO1865081

Disclosures

Regulatory Event2

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.

Company Information

INTEGRITY FUNDS DISTRIBUTOR, LLC

CRD#: 26293Minot, ND 58703

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