Stephen T. Gillingham
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.
Stephen Thomas Gillingham was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 5 firms and has passed the Series 63, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2012 - December 5, 2022
FINANCIAL PLANNING ASSOCIATES, LLC
July 18, 2006 - December 31, 2011
FINANCIAL PLANNING ASSOCIATES,INC.
August 4, 2004 - March 27, 2006
ASSET ALLOCATION SECURITIES CORP.
May 19, 2003 - September 23, 2003
AMERIPROP, INC.
May 5, 1995 - February 25, 2003
THE THOMPSON GROUP, INC.
Primary Firm SEC Registration
FINANCIAL PLANNING ASSOCIATES, LLC
CRD#: 159404 / SEC#: 801-79162
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FINANCIAL PLANNING ASSOCIATES, LLC
CRD#: 159404 / SEC#: 801-79162
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 64,496,894 |
Red Flags
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