Stephen D. Pruitt
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 Dale Pruitt, who also goes by Steve Pruitt, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 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
July 13, 2018 - March 9, 2020
SELECTIVE WEALTH MANAGEMENT, INC.
May 24, 2002 - March 20, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 17, 2002 - March 20, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
April 30, 1997 - May 21, 2002
DAVENPORT & COMPANY LLC
July 11, 1990 - May 6, 1997
FIRST UNION CAPITAL MARKETS CORP.
Primary Firm SEC Registration
SELECTIVE WEALTH MANAGEMENT, INC.
CRD#: 164882 / SEC#: 801-108568
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
SELECTIVE WEALTH MANAGEMENT, INC.
CRD#: 164882 / SEC#: 801-108568
Contact information
SEC notice filing (31 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,854 |
| AUM (Assets Under Management) | $ 425,928,464 |
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.
