Stephan G. Archambault
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.
Stephan Guy Archambault, who also goes by Stephane Archambault, was a registered financial professional .
Stephan is a previously registered financial professional and started their career in finance in 1994. Stephan had worked at 14 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
May 13, 2019 - October 7, 2019
ADVISORS ASSET MANAGEMENT, INC.
April 5, 2017 - July 30, 2018
TRIBAL CAPITAL MARKETS, LLC
May 13, 2015 - May 13, 2016
MULTI-BANK SECURITIES, INC.
April 15, 2014 - February 27, 2015
BB&T SECURITIES, LLC
November 2, 2011 - April 9, 2014
INSPEREX LLC
December 10, 2010 - October 28, 2011
SECUREVEST FINANCIAL GROUP
October 6, 2008 - November 17, 2010
BONDS.COM LLC
March 7, 2006 - May 3, 2006
STERLING FINANCIAL INVESTMENT GROUP, INC.
February 2, 2006 - July 15, 2008
VFINANCE INVESTMENTS, INC
February 9, 2000 - December 31, 2005
OPPENHEIMER & CO. INC.
July 20, 1998 - January 14, 2000
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 1, 1997 - July 7, 1998
GMS GROUP
February 20, 1996 - April 7, 1997
MESIROW FINANCIAL, INC.
August 3, 1995 - February 21, 1996
GRUNTAL & CO., L.L.C.
March 18, 1994 - February 15, 1996
GMS GROUP
Primary Firm SEC Registration
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
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
ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| 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.
