Stephen R. Carter
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 Richard Carter was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1991. Stephen had worked at 2 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2004 - January 4, 2006
STUART STONE & CO., LLC
February 12, 2003 - May 14, 2004
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
September 30, 1991 - December 31, 2002
STUART STONE & CO., LLC
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
STUART STONE & CO., LLC
CRD#: 18190 / SEC#: , 8-36229
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRASSO, GREGORY SHELLEY | OPERATING MANAGER & TREASURER | 811986 |
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.
