Stephen S. Pokorny
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.
Stephen Scott Pokorny, who also goes by Steve Pokorny, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2022 - February 4, 2025
CABANA ASSET MANAGEMENT
January 23, 2006 - October 1, 2012
STERNE, AGEE & LEACH, INC.
May 5, 2004 - January 20, 2006
HILLTOP SECURITIES INC.
November 9, 1993 - June 3, 2004
JANNEY MONTGOMERY SCOTT LLC
Primary Firm SEC Registration
CABANA ASSET MANAGEMENT
CRD#: 151418 / SEC#: 801-108439
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
CABANA ASSET MANAGEMENT
CRD#: 151418 / SEC#: 801-108439
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 425 |
| AUM (Assets Under Management) | $ 576,705,000 |
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.
