Stephen K. Lay
Professional summary
Stephen Kenneth Lay is a registered financial advisor currently at CURTAIN WEALTH PLANNING L.L.C. located in Park City, Utah.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Stephen has worked at 3 firms and has passed the Series 66, Series 63, Series 99TO, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Kenneth Lay's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 14, 2023 - Present
CURTAIN WEALTH PLANNING L.L.C.
January 31, 2003 - July 30, 2021
LPL FINANCIAL LLC
December 18, 2000 - May 15, 2001
LPL FINANCIAL LLC
December 8, 1997 - December 8, 1999
DEAM INVESTOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/23/2024)
(9/14/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 10/17/2022
General Securities Representative ExaminationSeries 6TO
Date: 10/17/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CURTAIN WEALTH PLANNING L.L.C.
CRD#: 327595 / SEC#:
Contact information
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