Steven G. Ross
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.
Steven George Ross was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1994 - August 23, 1995
ABACUS INVESTMENTS, INC.
January 25, 1993 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
April 13, 1992 - December 31, 1992
CETERA ADVISORS LLC
November 8, 1991 - April 24, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 8, 1991 - April 24, 1992
PRUCO SECURITIES, LLC.
September 24, 1990 - March 22, 1991
A. G. EDWARDS & SONS, 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
Current Firm
ABACUS INVESTMENTS, INC.
CRD#: 35127 / SEC#: , 8-46571
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC. | OWNER | |
| HOHENSEE, FREDERICK EARL | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1431948 |
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.
