Steven D. Sharpe
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.
Steven Daniel Sharpe was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 53, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2017 - December 14, 2017
CABOT LODGE SECURITIES LLC
January 5, 2009 - March 14, 2018
WILBANKS SECURITIES ADVISORY
July 18, 2005 - October 5, 2017
WILBANKS SECURITIES, INC.
March 10, 1997 - October 31, 1997
WILBANKS SECURITIES, INC.
September 19, 1995 - December 31, 1996
SECURITIES MANAGEMENT & RESEARCH, INC.
June 2, 1993 - March 20, 1995
METROPOLITAN LIFE INSURANCE COMPANY
June 2, 1993 - March 20, 1995
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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