Stephen K. Faber
Professional summary
Stephen Kenneth Faber 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 professional and started their career in finance in 1993. Prior to being barred, Stephen had worked at 7 firms, which includes WEATHERLY SECURITIES CORPORATION, TRAUTMAN WASSERMAN & COMPANY INC., AUGMENT SECURITIES INC., MILLENNIUM SECURITIES CORP., GRUNTAL & CO. L.L.C., PRUDENTIAL EQUITY GROUP LLC, FISCL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 1999 - November 11, 1999
WEATHERLY SECURITIES CORPORATION
September 22, 1997 - August 27, 1999
TRAUTMAN WASSERMAN & COMPANY, INC.
April 21, 1997 - August 7, 1997
AUGMENT SECURITIES INC.
August 26, 1996 - January 27, 1997
MILLENNIUM SECURITIES CORP.
December 22, 1993 - August 1, 1996
GRUNTAL & CO., L.L.C.
July 26, 1993 - November 5, 1993
PRUDENTIAL EQUITY GROUP, LLC
June 25, 1993 - July 19, 1993
FISCL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WEATHERLY SECURITIES CORPORATION
CRD#: 11081 / SEC#: , 8-29003
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEATHERLY INTERNATIONAL, PLC | HOLDING COMPANY | |
| GEORGE, KENNETH RONALD | FINOP | |
| MARKS, KENNETH RYAN | VICE CHAIRMAN | 4479881 |
| MCKIERNAN, THOMAS ANTHONY | DIRECTOR OF OPERATIONS | |
| NAJARIAN, JACK GEORGE | CEO / CHAIRMAN | 2883669 |
| ODENTHAL, WILLIAM JOHN | CHIEF OPERATING OFFICER / PRESIDENT | 1345266 |
| SIERRA, JOE | BRANCH MANAGER / CHIEF ADMINISTRATIVE OFFICER | 1947654 |
| VITALE, ANTHONY VINCENT | HEAD OF TRADING | 2623131 |
| WARD, MICHAEL DAVID | MSRP - BOND PRINCIPAL | 1425173 |
| WILSON, JOHN JAMES | DIRECTOR OF COMPLIANCE |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 2 |
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