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Stephen W. Carleu

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CRD#: 2630392
SC

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 Whitfield Carleu was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 4 firms and has passed the Series 63, Series 31, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 3, 2010 - June 14, 2012

TD AMERITRADE, INC.

RIA
CRD#: 7870
JERSEY CITY, NJ
Past

August 3, 2010 - June 14, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
JERSEY CITY, NJ
Past

August 3, 2010 - June 14, 2012

TD AMERITRADE, INC.

BD
CRD#: 7870
JERSEY CITY, NJ
Past

June 20, 2002 - May 26, 2010

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
MILLBURN, NJ
Past

October 13, 1998 - May 26, 2010

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
MILLBURN, NJ
Past

August 10, 1995 - July 15, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/16/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 8/23/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/9/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/7/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/5/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

TD AMERITRADE, INC.
TD AMERITRADE, INC.
TD AMERITRADE, INC. | WATERHOUSE SECURITIES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC. | TD WATERHOUSE INVESTOR SERVICES, INC.

CRD#: 7870 / SEC#: 801-60469, 8-23395

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
200 South 108th Avenue, Omaha, NE 68154
Mailing Address
Phone number
(800) 669-3900
Established
New York since 09/29/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
5,840

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TD AMERITRADE ONLINE HOLDINGS LLC.OWNER
KONOP, LYNN MARIECHIEF COMPLIANCE OFFICER - BD1216310
KOSTULIAS, JAMES ROBERTPRESIDENT3091009
STARR, JEFFREY HAROLDMANAGING DIRECTOR, OPERATIONS4700461
THOMPSON, AARON MARKCHIEF FINANCIAL OFFICER/FINOP6483170

Disclosures

Regulatory Event79
Civil Event1
Arbitration144

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.

Company Information

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CRD#: 7870

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