Stephen F. Segundo
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 Frank Segundo was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1998. Stephen had worked at 4 firms and has passed the Series 65, Series 63 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
March 11, 2005 - December 31, 2006
RESOURCE INVESTMENT ARCHITECTS, INC.
February 11, 2004 - February 6, 2026
PRIVATE WEALTH GROUP, LLC
October 13, 1998 - December 31, 2006
INVESTMENT ARCHITECTS, INC.
September 30, 1998 - October 15, 1998
STROME SECURITIES, L.P.
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
RESOURCE INVESTMENT ARCHITECTS, INC.
CRD#: 111894 / SEC#: 801-56409
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,222 |
| AUM (Assets Under Management) | $ 416,224,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/22/2021 |
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.
