Stephen H. Stark

MAIN STREET INVESTORS

Brentwood, TN 37027

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CRD#: 2140069

Professional summary

Stephen H Stark, who also goes by Stephen Harold Stark, Steve Stark, is a registered financial advisor currently at MAIN STREET INVESTORS, LLC located in Brentwood, Tennessee.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Harold Stark | Steve Stark

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. MediStaff Provides the Staff for respite and in home personal care Start: 11/01/2007 Address: 123 Pebble Creek Rd Franklin, TN 37064 1 non bus hr per month Not investment related 2. Stephen H Stark is a licensed insurance agent. He spends approximately 40 hours a week on this outside business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen H Stark's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 15, 2019 - Present

MAIN STREET INVESTORS, LLC

Office #1: 205 Powell Place Suite 209, Brentwood, TN 37027

RIA

CRD#: 299291

Brentwood, TN

Past

January 23, 2008 - January 3, 2019

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

BRENTWOOD, TN

Past

November 19, 2007 - January 3, 2019

PARK AVENUE SECURITIES LLC

CRD#: 46173

BRENTWOOD, TN

Past

January 24, 2007 - November 5, 2007

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BRENTWOOD, TN

Past

September 1, 2005 - November 5, 2007

MML INVESTORS SERVICES, LLC

CRD#: 10409

BRENTWOOD, TN

Past

September 5, 1997 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 5, 1993 - September 7, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

May 3, 1991 - February 5, 1993

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(6/30/2022)

IAR

Tennessee
(1/15/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/31/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/1/1991

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MAIN STREET INVESTORS, LLC

CRD#: 299291 / SEC#:

Alabama

Registered Investment Advisory firm - (6/30/2022 Approved)

Tennessee

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

205 Powell Place Suite 209, Brentwood, TN 37027

Mailing Address

Phone number

(615) 369-0790

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 22,136,584

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Stephen H. Stark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen H Stark's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2010

Series 63

Date: 5/1/1991

SIE

Date: 10/1/2018

Series 7

Date: 1/31/2001

Series 6

Date: 5/1/1991

Current Firm

MAIN STREET INVESTORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MAIN STREET INVESTORS, LLC

TRUST BUT VERIFY

Contact information

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