Stephen T. Crawford
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 Timothy Crawford, who also goes by Steve Crawford, was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1996. Stephen had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2007 - July 2, 2008
U.S. BANCORP ADVISORS, LLC
February 15, 2007 - July 2, 2008
U.S. BANCORP ADVISORS, LLC
February 16, 2006 - February 28, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
February 16, 2006 - February 28, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
May 21, 2003 - February 10, 2006
LPL FINANCIAL LLC
June 28, 2002 - February 10, 2006
LPL FINANCIAL LLC
January 16, 2002 - April 4, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 14, 2001 - March 11, 2002
FINANCIAL SENSE SECURITIES, INC.
April 17, 2001 - November 5, 2001
ONE ORCHARD EQUITIES, INC.
April 7, 2000 - July 6, 2000
PPI EMPLOYEE BENEFITS CORPORATION
September 20, 1999 - February 9, 2000
PRINCIPAL SECURITIES, INC.
December 18, 1998 - September 17, 1999
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 8, 1998 - December 16, 1998
MML INVESTORS SERVICES, LLC
September 2, 1997 - September 2, 1998
VALIC FINANCIAL ADVISORS, INC.
July 16, 1996 - September 2, 1998
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
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
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
