Stephen W. Tobin
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 Wayne Tobin, who also goes by Steve Tobin, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2022 - April 18, 2024
PREVETT FINANCIAL
March 11, 2022 - June 10, 2022
ALPHASTAR CAPITAL MANAGEMENT
January 3, 2022 - February 23, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 15, 2020 - November 30, 2021
LIFEPRO ASSET MANAGEMENT
January 30, 2019 - May 7, 2019
FWG INVESTMENTS, LLC
December 26, 2017 - February 4, 2019
OSAIC FS, INC.
December 26, 2017 - February 4, 2019
OSAIC FS, INC.
October 31, 2014 - December 26, 2017
CUNA BROKERAGE SERVICES, INC.
October 31, 2014 - December 26, 2017
CUNA BROKERAGE SERVICES, INC.
January 4, 2013 - October 29, 2014
INVEST FINANCIAL CORPORATION
January 2, 2013 - October 29, 2014
INVEST FINANCIAL CORPORATION
December 10, 2009 - January 4, 2013
CUNA BROKERAGE SERVICES, INC.
November 10, 2008 - January 4, 2013
CUNA BROKERAGE SERVICES, INC.
August 14, 2008 - November 3, 2008
AMERITAS INVESTMENT COMPANY, LLC
February 27, 2007 - May 12, 2008
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, INC.
December 20, 2005 - January 12, 2007
MML INVESTORS SERVICES, LLC
January 14, 2005 - December 19, 2005
OSAIC FS, INC.
November 29, 2004 - December 16, 2004
NYLIFE SECURITIES LLC
March 10, 2004 - November 10, 2004
LPL FINANCIAL LLC
March 10, 2004 - November 10, 2004
LPL FINANCIAL LLC
August 7, 2003 - March 15, 2004
OSAIC FS, INC.
May 17, 2001 - March 15, 2004
OSAIC FS, INC.
March 2, 1992 - May 19, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 2, 1992 - May 19, 1992
PRUCO SECURITIES, 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
PREVETT FINANCIAL
CRD#: 307753 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 138 |
| AUM (Assets Under Management) | $ 11,250,349 |
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.
