Stephen P. Dunbar
Professional summary
Stephen Patrick Dunbar was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Stephen had worked at 8 firms, which includes MIDSOUTH CAPITAL INC., IFG NETWORK SECURITIES INC., REGISTER FINANCIAL ASSOCIATES INC., ABN AMRO SECURITIES LLC, DB ALEX. BROWN LLC, ALEX. BROWN & SONS INCORPORATED, UBS FINANCIAL SERVICES INC., WADDELL & REED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2002 - October 31, 2005
MIDSOUTH CAPITAL, INC.
July 12, 2001 - October 31, 2005
MIDSOUTH CAPITAL, INC.
April 18, 2000 - May 5, 2000
IFG NETWORK SECURITIES, INC.
April 18, 2000 - May 15, 2002
REGISTER FINANCIAL ASSOCIATES, INC.
December 17, 1997 - May 8, 2000
ABN AMRO SECURITIES LLC
September 1, 1997 - January 22, 1998
DB ALEX. BROWN LLC
September 1, 1995 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
May 29, 1992 - September 7, 1995
UBS FINANCIAL SERVICES INC.
March 13, 1990 - May 8, 1992
WADDELL & REED
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
Current Firm
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
Red Flags
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