Stephen Thomas Comes
Professional Summary
Stephen Thomas Comes, who also goes by Steve Comes, is a registered financial advisor currently at COLUMBUS MACRO, LLC located in Doylestown, Pennsylvania. Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Stephen has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steve Comes
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
COLUMBUS MACRO, LLC
Contact Information
Main Address
New Castle, PAPhone Number
(724) 761-2510# of Employees
7SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
5,375AUM (Assets Under Management)
$970,251,440Similar Advisors
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
COLUMBUS MACRO, LLC
State Registrations and Notice Filings
(2/9/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2000Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1994About the Series 6 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2020About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2019About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Thomas Comes's CRS (Customer Relationship Summary).
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