SP
Stephen M. Prough
SALEM PARTNERS LLC
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 2305366
SP
Professional summary
Stephen Michael Prough is a registered financial professional currently at SALEM PARTNERS LLC located in Los Angeles, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
SALEM PARTNERS WEALTH MANAGEMENT - INVESTMENT-RELATED - 11111 SANTA MONICA BLVD. SUITE 2250 LOS ANGELES CA 90025 - WEALTH MANAGEMENT - CO-FOUNDER - 7/2004 - 50% OF TIME - DUTIES INCLUDE MEMBER OF INVESTMENT COMMITTEE Critical Mass Studios, Inc.- Investment-related/software - Building C 12777 W Jefferson Blvd. Los Angeles CA 90066 - Director - start date 6.11.19 - Typical director duties, including overseeing executives and guiding strategy - 10 hours during the month during business and non-business hours Fabric Data Inc. (previously Meta Data Software, Inc.) - Investment-related/software - 11111 Santa Monica Blvd. Suite 2250 Los Angeles CA 90025 - Director - start date 6.30.21 - Typical director duties, including overseeing executives and guiding strategy - 10 hours during the month during business and non-business hours CalSavers Retirement Savings Program -915 Capitol Mall, Room 105 Sacramento, CA 95814 - Board Position - Investment-related- start date 9.26.19 Duties: Oversight of investment operations for the state-sponsored tax-deferred investment platform - 10 hours during the month during business and non-business hours - Nature of business: State-sponsored tax-deferred, defined contribution retirement plan Name: SP Passive Income Investors LLC Business: Acquisition and exploitation of film, TV and music rights. Address: 11111 Santa Monica Boulevard, Suite 2250 Los Angeles, CA 90025 Nature: LLC / film, TV & music acquisition and exploitation Position: I am managing member of SP Passive Title/relationship: Member/co-owner Start date of relationship: 5/5/2020 Hours: <5 hours/week Hours during securities trading: 0 during trading hours Duties: Evaluation, acquisition and exploitation of film and television rights.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael Prough's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 27, 1997 - Present
SALEM PARTNERS LLC
Office #1: 11111 Santa Monica Boulevard Suite 2250, Los Angeles, CA 90025Office #2: 11111 Santa Monica Blvd., Suite 2250, Los Angeles, CA 90025BD
CRD#: 43363
Los Angeles, CA
Past
January 17, 2025 - January 21, 2025
SALEM PARTNERS WEALTH MANAGEMENT, LLC
RIA
CRD#: 131359
LOS ANGELES, CA
Past
June 4, 1993 - March 7, 1997
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(7/7/2017)
RR
California(3/8/2002)
RR
Colorado(8/28/1997)
RR
Connecticut(4/16/2002)
RR
District of Columbia(8/16/2017)
RR
Florida(10/29/2015)
RR
Georgia(7/7/2017)
RR
Hawaii(4/8/2014)
RR
Illinois(2/14/2000)
RR
Indiana(12/8/2011)
RR
Maryland(7/7/2017)
RR
Massachusetts(4/1/2002)
RR
Nevada(6/12/2014)
RR
New Jersey(10/29/2015)
RR
New York(5/13/2002)
RR
North Carolina(5/14/2019)
RR
Pennsylvania(8/15/2017)
RR
Texas(4/16/2002)
RR
Utah(8/15/2017)
RR
Vermont(6/12/2019)
RR
Virginia(7/7/2017)
RR
Washington(10/15/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SP
SALEM PARTNERS LLC
SALEM PARTNERS HOLDINGS, LLC | SALEM PARTNERS, LLC | SALEM PARTNERS LLC
CRD#: 43363 / SEC#: , 8-50241
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
11111 Santa Monica Boulevard Suite 2250, Los Angeles, CA 90025
Mailing Address
11111 Santa Monica Boulevard Suite 2250, Los Angeles, CA 90025
Phone number
(310) 806-4200
Established
Delaware since 01/10/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (34 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
