Rashaun D. Stephens
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.
Rashaun Dontee Stephens, who also goes by Shaun D Stephens, was a registered financial professional .
Rashaun is a previously registered financial professional and started their career in finance in 1997. Rashaun had worked at 21 firms and has passed the 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
January 27, 2014 - December 19, 2014
JOSEPH STONE CAPITAL L.L.C.
May 7, 2013 - February 20, 2014
LAMPERT CAPITAL MARKETS INC.
June 14, 2012 - June 3, 2013
JOHN CARRIS INVESTMENTS LLC
September 23, 2011 - June 14, 2012
SPARTAN CAPITAL SECURITIES, LLC
November 3, 2010 - October 11, 2011
LEGEND MERCHANT GROUP, INC.
December 18, 2009 - May 3, 2010
CALDWELL INTERNATIONAL SECURITIES
December 8, 2008 - November 20, 2009
PRESTIGE FINANCIAL CENTER, INC.
October 20, 2008 - December 5, 2008
FIRST MIDWEST SECURITIES, INC.
September 25, 2007 - October 17, 2008
J.P. TURNER & COMPANY, L.L.C.
February 23, 2007 - September 11, 2007
BROOKVILLE CAPITAL PARTNERS
December 21, 2005 - February 27, 2007
EKN FINANCIAL SERVICES INC.
October 25, 2005 - January 3, 2006
GRANTA CAPITAL GROUP LLC
February 19, 2004 - May 23, 2005
GUNNALLEN FINANCIAL, INC
January 30, 2004 - March 12, 2004
GREAT EASTERN SECURITIES, INC.
January 16, 2003 - October 30, 2003
S.W. BACH & COMPANY
September 23, 2002 - January 9, 2003
EKN FINANCIAL SERVICES INC.
July 27, 2000 - March 16, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
May 10, 2000 - June 9, 2000
THE THORNWATER COMPANY, L.P.
May 10, 2000 - July 13, 2000
THE MINNEAPOLIS COMPANY, INC.
January 7, 1998 - June 23, 1998
THE MINNEAPOLIS COMPANY, INC.
October 14, 1997 - December 31, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
August 30, 1997 - February 6, 1998
ASH FINANCIAL CORP.
April 23, 1997 - January 28, 1998
H G I
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
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
