Steven J. Fonda
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 James Fonda, who also goes by Steven Fonda, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 9 firms and has passed the Series 65, 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
April 17, 2009 - February 10, 2017
WADDELL & REED
April 17, 2009 - February 10, 2017
WADDELL & REED
April 22, 2003 - May 7, 2009
CITIGROUP GLOBAL MARKETS INC.
October 31, 2001 - May 7, 2009
CITIGROUP GLOBAL MARKETS INC.
January 29, 1999 - November 9, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 11, 1997 - December 8, 1998
BA INVESTMENT SERVICES, INC.
October 4, 1993 - August 30, 1995
BA INVESTMENT SERVICES, INC.
April 15, 1993 - October 1, 1993
CAPITAL BROKERAGE CORPORATION
December 9, 1992 - April 3, 1993
PFS INVESTMENTS INC.
September 2, 1992 - December 3, 1992
CETERA WEALTH SERVICES, LLC
April 15, 1992 - September 4, 1992
IDS LIFE INSURANCE COMPANY
April 15, 1992 - September 4, 1992
AMERIPRISE FINANCIAL SERVICES, 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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
