Steven C. Cornwall
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 Calvin Cornwall was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
August 29, 2014 - April 28, 2025
INDEPENDENT FINANCIAL ADVISORS, LLC
April 9, 2013 - March 10, 2014
INDEPENDENT FINANCIAL ADVISORS, LLC
February 21, 2013 - March 19, 2025
LPL FINANCIAL LLC
February 20, 2013 - March 19, 2025
LPL FINANCIAL LLC
October 14, 2010 - January 30, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
July 27, 2009 - January 30, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
August 16, 1996 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 16, 1996 - July 15, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
INDEPENDENT FINANCIAL ADVISORS, LLC
CRD#: 122468 / SEC#:
Contact information
Red Flags
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