Stephen K. Sides
Professional summary
Stephen Kevin Sides was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Stephen had worked at 6 firms, which includes NEUTRAL SWITCH INC., HAMPTON CAPITAL MANAGEMENT CORP., SCHONFELD SECURITIES LLC, MOREHEAD INVESTMENT ADVISORS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, INTERFIRST CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 1997 - December 3, 1997
NEUTRAL SWITCH, INC.
October 9, 1997 - October 27, 1997
HAMPTON CAPITAL MANAGEMENT CORP.
August 19, 1996 - July 29, 1997
SCHONFELD SECURITIES, LLC
March 27, 1996 - May 25, 1999
MOREHEAD INVESTMENT ADVISORS, INC.
May 19, 1994 - August 1, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 1994 - May 10, 1994
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
NEUTRAL SWITCH, INC.
CRD#: 37648 / SEC#: , 8-47859
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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