Stephen D. Grant
Professional summary
Stephen Duncan Grant 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 advisor and started their career in finance in 1994. Prior to being barred, Stephen had worked at 7 firms, which includes SRA CAPITAL MANAGEMENT LLC, SECURITY RESEARCH ASSOCIATES INC., LEGEND MERCHANT GROUP INC., INTERNET SECURITIES, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY DW INC..
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Aliases
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2014 - July 15, 2015
SRA CAPITAL MANAGEMENT LLC
June 6, 2014 - June 12, 2015
SECURITY RESEARCH ASSOCIATES, INC.
August 12, 2011 - May 10, 2012
LEGEND MERCHANT GROUP, INC.
August 11, 2011 - May 10, 2012
LEGEND MERCHANT GROUP, INC.
March 17, 2011 - September 9, 2011
INTERNET SECURITIES
March 17, 2011 - September 9, 2011
INTERNET SECURITIES
January 6, 2011 - March 22, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 5, 2011 - March 22, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 20, 2004 - January 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 2004 - January 6, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 1994 - February 2, 1998
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
SRA CAPITAL MANAGEMENT LLC
CRD#: 146850 / SEC#:
Contact information
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