Steven M. Reed
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.
Steven Mark Reed was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1995. Steven had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2003 - July 1, 2003
CAPITAL ADVISORS ASSET MANAGEMENT, INC.
June 30, 2000 - December 31, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 26, 2000 - July 3, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 19, 1997 - July 6, 2000
SUTRO & CO. INCORPORATED
August 21, 1995 - March 19, 1997
UBS FINANCIAL 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.
