Steven C. Pitts
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.
Steven Curtis Pitts, who also goes by Steve Pitts, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2010 - August 2, 2021
NEXT FINANCIAL GROUP, INC.
September 8, 2010 - August 2, 2021
NEXT FINANCIAL GROUP, INC.
May 5, 2009 - August 26, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - August 26, 2010
CHASE INVESTMENT SERVICES CORP.
April 8, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
May 31, 2005 - March 24, 2009
LPL FINANCIAL LLC
May 31, 2005 - March 24, 2009
LPL FINANCIAL LLC
April 27, 2005 - June 8, 2005
PAULSON INVESTMENT COMPANY LLC
September 23, 2003 - March 4, 2005
ESSEX NATIONAL SECURITIES, LLC
September 23, 2003 - March 4, 2005
ESSEX NATIONAL SECURITIES, LLC
March 7, 2003 - August 19, 2003
CITICORP INVESTMENT SERVICES
February 5, 2003 - August 19, 2003
CITICORP INVESTMENT SERVICES
May 14, 2002 - February 5, 2003
CAL FED INVESTMENTS
May 1, 2002 - May 10, 2002
DFC INVESTOR SERVICES
October 19, 2001 - May 1, 2002
FISERV INVESTOR SERVICES, INC.
October 15, 1998 - October 17, 2001
PAULSON INVESTMENT COMPANY LLC
September 29, 1993 - October 15, 1998
GRIFFIN FINANCIAL SERVICES
April 22, 1993 - September 3, 1993
AEGON USA SECURITIES INC.
May 21, 1992 - December 8, 1992
PAULSON INVESTMENT COMPANY LLC
January 9, 1992 - March 30, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
