S C. Platt
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.
S Casey Platt, who also goes by Stephen Casey Platt, was a registered financial professional .
S is a previously registered financial professional and started their career in finance in 1992. S had worked at 4 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2015 - June 22, 2016
OPTIONSXPRESS, INC.
October 20, 2014 - July 2, 2015
VOYA FINANCIAL ADVISORS, INC.
November 30, 1992 - April 30, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 30, 1992 - April 30, 1993
EQUITABLE ADVISORS, 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
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 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.
