Stephen M. Biley
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 Marc Biley, who also goes by Stephen M Biley, 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, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2019 - December 31, 2020
CAMBRIA CAPITAL, LLC
January 5, 1999 - December 31, 2018
SPENCER EDWARDS, INC.
November 4, 1997 - December 31, 1998
LUMIERE SECURITIES, INC.
September 11, 1996 - November 4, 1997
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 9, 1996 - October 3, 1996
ROYCE INVESTMENT GROUP, INC.
June 23, 1995 - January 5, 1996
MONY SECURITIES CORPORATION
July 22, 1993 - July 11, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 22, 1993 - July 11, 1995
SIGNATOR INVESTORS, INC.
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: 11/23/2022
General Securities Representative ExaminationSeries 57TO
Date: 11/23/2022
Securities Trader ExamSeries 55
Date: 12/1/2003
Limited Representative-Equity Trader ExamCurrent Firm
CAMBRIA CAPITAL, LLC
CRD#: 133760 / SEC#: 801-112108, 8-66768
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 134 |
| AUM (Assets Under Management) | $ 10,552,928 |
Disclosures
| Regulatory Event | 3 |
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.
