Stephen D. Ledbetter
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 Drake Ledbetter, who also goes by Stephen Drake, was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1991. Stephen had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2013 - August 31, 2015
CABOT LODGE SECURITIES LLC
May 12, 2010 - December 19, 2012
LAWSON FINANCIAL CORPORATION
December 8, 2009 - May 18, 2010
INVESTMENT PROFESSIONALS, INC.
October 13, 2009 - October 29, 2009
INVESTMENT PROFESSIONALS, INC.
October 13, 2009 - May 18, 2010
INVESTMENT PROFESSIONALS, INC.
February 16, 2006 - October 28, 2009
HILLTOP SECURITIES INC.
February 16, 2006 - October 28, 2009
HILLTOP SECURITIES INC.
June 12, 2003 - February 13, 2006
A. G. EDWARDS & SONS, INC.
January 12, 1999 - February 13, 2006
A. G. EDWARDS & SONS, INC.
January 15, 1996 - December 11, 1998
MORGAN STANLEY DW INC.
December 21, 1992 - January 15, 1996
STEPHENS
March 10, 1992 - December 23, 1992
POWELL & SATTERFIELD, INC.
March 5, 1991 - July 24, 1991
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
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
