Steven W. Reese
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 Wayne Reese was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2013 - June 26, 2026
EQUITABLE DISTRIBUTORS, LLC
January 3, 2012 - April 29, 2013
COREBRIDGE CAPITAL SERVICES, INC.
December 4, 2008 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
February 4, 2003 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - December 5, 2011
JOHN HANCOCK DISTRIBUTORS LLC
March 23, 1999 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
February 7, 1996 - December 31, 1997
NATHAN & LEWIS SECURITIES, INC.
June 21, 1993 - December 31, 1995
1717 CAPITAL MANAGEMENT COMPANY
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
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| LARUSSA, CHRISTOPHER JOHN | CHIEF COMPLIANCE OFFICER | 4728315 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| 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.
