Stephen J Landa
Professional Summary
Stephen J Landa, who also goes by Stephen Jay Landa, is a registered financial advisor currently at MIGHTY OAK MANAGEMENT LLC located in Easton, Connecticut. Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Stephen has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen J Landa, Stephen Jay Landa
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
35 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
MIGHTY OAK MANAGEMENT LLC
Contact Information
Main Address
Easton, CTMailing Address
P.o. Box 56, Easton, CT 06612Phone Number
(203) 964-9300# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
60AUM (Assets Under Management)
$15,000,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/1/2009)
(8/16/2016)
(7/18/2016)
(12/13/2022)
(10/14/2016)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen J Landa's CRS (Customer Relationship Summary).
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