Stephen W. Wilson
Professional summary
Stephen White Wilson 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 advisor and started their career in finance in 1992. Prior to being barred, Stephen had worked at 11 firms, which includes AFA ADVISOR SERVICES LLC, WEDBUSH SECURITIES INC., AFA FINANCIAL GROUP LLC, BROOKSTREET SECURITIES CORPORATION, SECURITIES AMERICA ADVISORS INC., SECURITIES AMERICA INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2007 - April 29, 2010
AFA ADVISOR SERVICES LLC
July 3, 2007 - July 5, 2007
WEDBUSH SECURITIES INC.
July 3, 2007 - April 29, 2010
AFA FINANCIAL GROUP, LLC
June 13, 2007 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
June 30, 2005 - June 4, 2007
SECURITIES AMERICA ADVISORS, INC.
April 29, 2005 - June 1, 2007
SECURITIES AMERICA, INC.
March 8, 2001 - April 29, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 26, 1999 - April 29, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 13, 1997 - August 18, 1999
PRUDENTIAL EQUITY GROUP, LLC
December 18, 1992 - June 5, 1997
MORGAN STANLEY DW INC.
July 13, 1992 - February 9, 1993
ROBERT W. BAIRD & CO. INCORPORATED
July 13, 1992 - February 9, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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