Stephen H. Poulter
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 Howard Poulter, who also goes by Steve Poulter, was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1995. Stephen had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2004 - December 31, 2004
BOSTON FINANCIAL, L.L.C.
December 4, 2001 - April 8, 2002
RUMSON CAPITAL, LLC
August 30, 1999 - December 14, 1999
LAWSON FINANCIAL CORPORATION
July 3, 1997 - January 14, 1999
TERRA NOVA FINANCIAL, LLC
May 10, 1995 - May 8, 1997
AMERIPRISE ADVISOR SERVICES, INC.
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
No current employment
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.
