Stephen M. Kirch
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 Mark Kirch was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1974. Stephen had worked at 11 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2009 - September 25, 2012
CARRINGTON INVESTMENT SERVICES, LLC
November 1, 2004 - April 24, 2007
JEFFERIES LLC
June 18, 2001 - November 1, 2004
BONDS DIRECT SECURITIES LLC
February 6, 1997 - February 11, 2000
J.P. MORGAN SECURITIES INC.
May 8, 1991 - February 24, 1997
UBS FINANCIAL SERVICES INC.
November 21, 1986 - September 27, 1990
PRUDENTIAL EQUITY GROUP, LLC
December 4, 1984 - September 18, 1986
MORGAN STANLEY & CO. LLC
July 13, 1978 - September 28, 1984
BECKER PARIBAS INCORPORATED
August 19, 1977 - July 13, 1978
A. G. BECKER MUNICIPAL SECURITIES INCORPORATED
June 18, 1975 - July 13, 1978
A. G. BECKER INCORPORATED
September 5, 1974 - November 25, 1975
A. G. BECKER & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/1/1984
AMEX Put and Call ExamSeries 1
Date: 8/26/1974
Registered Representative ExaminationSeries 40
Date: 9/12/1977
Registered Principal ExaminationCurrent Firm
CARRINGTON INVESTMENT SERVICES, LLC
CRD#: 139334 / SEC#: , 8-67208
Contact information
Documents
Direct owners and executive officers
Red Flags
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