Stephen L. Ketterling
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 Leroy Ketterling, who also goes by Steve Ketterling, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 8 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
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.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/9/2022
General Securities Representative ExaminationCurrent Firm
SYNTROPY WEALTH MANAGEMENT LLC
CRD#: 293062 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 151 |
| AUM (Assets Under Management) | $ 52,250,544 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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