Stephen L. Ketterling
Professional summary
Stephen Leroy Ketterling, who also goes by Steve Ketterling, is a registered financial advisor currently at 406 PM located in Billings, Montana.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Stephen has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Leroy Ketterling's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2026 - Present
406 PM
March 16, 2022 - June 6, 2023
SYNTROPY WEALTH MANAGEMENT LLC
October 1, 2019 - April 21, 2021
MORGAN STANLEY
September 16, 2019 - April 14, 2021
MORGAN STANLEY
September 16, 2010 - April 11, 2012
OPTIMA CAPITAL MANAGEMENT
February 5, 2009 - March 24, 2010
INVESTMENT MANAGEMENT GROUP
September 29, 2004 - February 6, 2009
OPTIMA CAPITAL MANAGEMENT
August 29, 2000 - August 6, 2004
CHARLES SCHWAB & CO., INC.
June 12, 1998 - August 6, 2004
CHARLES SCHWAB & CO., INC.
October 1, 1993 - January 18, 1994
CHARLES SCHWAB & CO., INC.
June 25, 1993 - July 29, 1993
IDS LIFE INSURANCE COMPANY
June 25, 1993 - July 29, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
April 26, 1993 - July 22, 1993
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/22/2026)
Exams
Series 7TO
Date: 11/9/2022
General Securities Representative ExaminationCurrent Firm
406 PM
CRD#: 339835 / SEC#:
Contact information
Red Flags
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