Kenneth W. Steppings
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.
Kenneth Wayne Steppings, who also goes by Wayne Kenneth Steppings, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1991. Kenneth had worked at 8 firms and has passed the Series 63, 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
May 16, 2002 - August 8, 2013
GRACE FINANCIAL GROUP LLC
October 12, 2001 - April 29, 2002
A.B. WATLEY, INC.
September 19, 1996 - October 12, 2001
ON-SITE TRADING, INC.
February 14, 1996 - November 15, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
September 25, 1995 - February 14, 1996
SCHONFELD SECURITIES, LLC
November 28, 1994 - September 28, 1995
R.M. STARK & CO., INC.
December 21, 1993 - February 14, 1994
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 15, 1991 - November 9, 1992
BURNS FRY 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 55
Date: 10/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
GRACE FINANCIAL GROUP LLC
CRD#: 104133 / SEC#: , 8-52606
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
