Stephen P. Nolan
Professional summary
Stephen Paul Nolan, who also goes by Stephen Paul Nolan Jr, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Boca Raton, Florida.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Paul Nolan's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2023 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 1150 Broken Sound Parkway Nw, Boca Raton, FL 33487March 5, 2019 - March 22, 2023
SENTRY EQUITY SERVICES, INC.
March 25, 2016 - December 26, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 29, 2008 - June 30, 2010
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
January 18, 2002 - February 29, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
December 6, 1999 - January 3, 2002
VOYA FINANCIAL PARTNERS, LLC
September 9, 1997 - December 31, 1997
BNY MELLON SECURITIES CORPORATION
July 21, 1997 - September 15, 1997
MORGAN STANLEY DW INC.
December 9, 1992 - May 6, 1997
BNY MELLON SECURITIES CORPORATION
August 6, 1992 - September 16, 1992
SOUTH RICHMOND SECURITIES, INC.
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
FINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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