Stephen A. Reynolds
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 Anthony Reynolds was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1991. Stephen had worked at 5 firms and has passed the Series 63, Series 31 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
February 11, 2003 - October 13, 2005
KOVACK SECURITIES INC.
August 18, 2000 - December 17, 2002
RAYMOND JAMES & ASSOCIATES, INC.
August 18, 2000 - December 17, 2002
RAYMOND JAMES & ASSOCIATES, INC.
May 18, 1998 - August 25, 2000
A. G. EDWARDS & SONS, INC.
February 13, 1995 - April 9, 1998
CITIGROUP GLOBAL MARKETS INC.
November 19, 1991 - February 3, 1995
MORGAN STANLEY DW 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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
