Steven Prout
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 Prout was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2011 - December 12, 2012
NORTHWINDS FINANCIAL PLANNING, LLC
August 15, 1994 - March 23, 1995
UBS FINANCIAL SERVICES INC.
May 20, 1994 - August 6, 1994
PROFUNDS DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NORTHWINDS FINANCIAL PLANNING, LLC
CRD#: 157368 / SEC#:
Contact information
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.
