Stephen R. Kraakevik
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 Ray Kraakevik was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 8 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
September 24, 2014 - December 31, 2014
RICHFIELD ORION INTERNATIONAL, INC.
July 26, 2011 - October 22, 2012
KBR CAPITAL MARKETS, LLC
April 18, 2011 - July 20, 2011
PLYMOUTH REAL ESTATE CAPITAL, LLC
October 9, 2008 - January 7, 2010
CM SECURITIES, LLC
April 3, 2007 - March 13, 2008
RIDGEWOOD SECURITIES CORPORATION
November 15, 2006 - February 6, 2007
JESUP & LAMONT SECURITIES CORP
October 14, 2002 - October 20, 2005
CNL SECURITIES CORP.
March 30, 1992 - February 26, 2002
FIRST TRUST PORTFOLIOS L.P.
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
RICHFIELD ORION INTERNATIONAL, INC.
CRD#: 24433 / SEC#: , 8-41166
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHFIELD ORION INTERNATIONAL, LLC | PARENT COMPANY | |
| STUART, JAMES BRETT | CEO,CFO,DIRECTOR, CCO | 3022149 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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.
