Rick D. Stephens
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.
Rick Dale Stephens, who also goes by Rick D Stephens, Rick Stephens, Ricky Dale Stephens, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1992. Rick had worked at 7 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
March 8, 2021 - May 28, 2021
SAXONY SECURITIES, INC.
July 2, 2010 - March 23, 2021
MOMENTUM INDEPENDENT NETWORK INC.
June 1, 2009 - July 19, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
December 3, 2002 - February 28, 2005
MORGAN STANLEY DW INC.
June 29, 1998 - April 2, 2007
MORGAN STANLEY DW INC.
November 22, 1992 - July 10, 1998
IDS LIFE INSURANCE COMPANY
November 22, 1992 - July 10, 1998
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
SAXONY SECURITIES, INC.
CRD#: 115547 / SEC#: , 8-53490
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| 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.
