Stephen Carver

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CRD#: 2230161

Professional summary

Stephen Carver was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Stephen had worked at 9 firms, which includes LIFEMARK SECURITIES CORP., CETERA ADVISORS LLC, BREWER INVESTMENT ADVISORS LLC, BREWER FINANCIAL SERVICES LLC, LPL FINANCIAL LLC, ROBERT W. BAIRD & CO. INCORPORATED, NATCITY INVESTMENTS INC., NATCITY INSURANCE SERVICES INC., MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen Corley Carver

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 13, 2018 - May 4, 2021

LIFEMARK SECURITIES CORP.

RIA

CRD#: 16204

Peoria, IL

Past

November 8, 2017 - December 31, 2018

LIFEMARK SECURITIES CORP.

CRD#: 16204

Peoria, IL

Past

November 22, 2010 - September 19, 2017

CETERA ADVISORS LLC

RIA

CRD#: 10299

PEORIA, IL

Past

November 19, 2010 - September 19, 2017

CETERA ADVISORS LLC

CRD#: 10299

PEORIA, IL

Past

February 3, 2009 - November 5, 2010

BREWER INVESTMENT ADVISORS LLC

RIA

CRD#: 134631

CHICAGO, IL

Past

February 2, 2009 - November 5, 2010

BREWER FINANCIAL SERVICES, LLC

CRD#: 132558

PEORIA, IL

Past

November 15, 2002 - February 5, 2009

LPL FINANCIAL LLC

RIA

CRD#: 6413

PEORIA, IL

Past

November 12, 2002 - February 5, 2009

LPL FINANCIAL LLC

CRD#: 6413

PEORIA, IL

Past

October 27, 2000 - November 6, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

April 23, 1998 - October 31, 2000

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

October 10, 1995 - October 31, 2000

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

May 27, 1992 - October 12, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/12/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/2/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/25/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/1998

General Securities Principal Examination

Current Firm

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

400 West Metro Park, Rochester, NY 14623

Mailing Address

400 West Metro Park, Rochester, NY 14623

Phone number

(585) 424-5672

Established

New York since 04/04/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
KALINOWSKI, ANDREW JOSEPH	VP / BOARD MEMBER/SECRETARY	263409
MICCICHE, VINCENT JR	TREASURER/ FINOP/PFO/POO	702149
PRISCO, JAMES JOSEPH	CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER	2653402
PRISCO, JAMES JOSEPH	PRESIDENT / BOARD MEMBER	2653402
GEORGIEV, ALEXANDRE JR.	CCO OF THE RIA / DIRECTOR OF OPERATIONS	5307830

Regulatory assets under management

Total Number of Accounts	2,021
AUM (Assets Under Management)	$ 461,475,636

Disclosures

Regulatory Event	2
Arbitration	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.

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Firm Stability Insights

Stephen Carver

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LIFEMARK SECURITIES CORP.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

BREWER INVESTMENT ADVISORS LLC

BREWER FINANCIAL SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ROBERT W. BAIRD & CO. INCORPORATED

NATCITY INVESTMENTS, INC.

NATCITY INSURANCE SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

LIFEMARK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2000

Series 63

Date: 7/2/1992

SIE

Date: 10/1/2018

Series 7

Date: 5/26/1992

Series 4

Date: 2/25/2000

Series 24

Date: 10/12/1998

Current Firm

LIFEMARK SECURITIES CORP.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LIFEMARK SECURITIES CORP.

TRUST BUT VERIFY

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