Stephen A. Comer
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 Andrew Comer was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1991. Stephen had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2005 - November 3, 2011
SAN DIEGO TAX & WEALTH MANAGEMENT, INC
July 8, 1997 - November 13, 2008
OSAIC WEALTH, INC.
December 4, 1996 - January 18, 2017
OSAIC WEALTH, INC.
October 28, 1991 - December 4, 1996
THE ADVISORS GROUP, INC.
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
No current employment
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.
