Stephen L. Kessler
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 Leonard Kessler was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 8 firms and has passed the Series 65, Series 63, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 1999 - January 13, 2005
QUANTUM ASSET MANAGEMENT
January 6, 1998 - May 10, 2012
S. R. SCHILL & ASSOCIATES, INC.
January 27, 1983 - April 19, 1991
DAIN RAUSCHER INCORPORATED
June 10, 1982 - February 19, 1983
EVANS LLEWELLYN SECURITIES, INC.
September 16, 1977 - June 28, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
October 5, 1970 - February 27, 1976
BACHE & CO., INCORPORATED
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
Series 5
Date: 11/30/1981
Interest Rate Options ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 7/1/1968
Registered Representative ExaminationCurrent 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.
