Stephen E. Spence
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 Edward Spence, who also goes by Stephen E Spence, Steve Spence, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 8 firms and has passed the Series 65, Series 63, Series 86, Series 87, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2014 - October 4, 2016
STONEHARBOR INVESTMENT GROUP, LLC
February 20, 2008 - October 14, 2009
ATLANTIC FINANCIAL SERVICES OF MAINE, INC.
April 24, 2006 - January 18, 2008
STONEGATE CAPITAL MARKETS, INC.
September 12, 2005 - August 27, 2007
CENTREINVEST, INC.
May 20, 2004 - April 20, 2005
AMERICA NORTHCOAST SECURITIES, INC.
August 6, 2003 - May 6, 2004
LBMZ SECURITIES, INC.
March 19, 2002 - May 27, 2003
KENNY SECURITIES CORP.
October 19, 1995 - January 8, 2001
HILLTOP SECURITIES 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
STONEHARBOR INVESTMENT GROUP, LLC
CRD#: 119982 / SEC#: 801-69809
Contact information
Red Flags
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