Stephen A. Spann
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 Alan Spann, AIF®, who also goes by Steve Alan Spann Mr., was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 31 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2012 - February 26, 2021
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 23, 2010 - December 5, 2012
ADP BROKER-DEALER, INC.
February 1, 2008 - February 24, 2009
CAPITAL BROKERAGE CORPORATION
September 26, 2002 - February 1, 2008
CAPITAL BROKERAGE CORPORATION
July 31, 2000 - July 25, 2002
METROPOLITAN LIFE INSURANCE COMPANY
July 31, 2000 - July 25, 2002
MSI FINANCIAL SERVICES, INC.
September 29, 1995 - January 14, 1997
MORGAN STANLEY DW INC.
September 20, 1995 - October 3, 1995
ARGENT SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VOYA INVESTMENTS DISTRIBUTOR, LLC
CRD#: 37886 / SEC#: , 8-48020
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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