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Stephen G. Bond-nelson

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CRD#: 2947935
SB

Professional summary

Stephen Graham Bond-nelson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Stephen had worked at 2 firms, which includes ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC, PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Graham Bondnelson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 26, 1999 - January 12, 2022

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

November 3, 1997 - May 21, 1999

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/31/1997
General Securities Representative Examination

Current Firm

AG
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
ALLIANZ GLOBAL INVESTORS | THOMSON MCKINNON FUND DISTRIBUTORS INC. | THOMSON INVESTOR SERVICES INC. | PIMCO FUNDS DISTRIBUTORS LLC | PIMCO FUNDS DISTRIBUTION COMPANY | PIMCO ADVISORS DISTRIBUTORS LLC | PIMCO ADVISORS DISTRIBUTION COMPANY | PA DISTRIBUTORS LLC | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567 / SEC#: , 8-41811

BD
Terminated by SEC on 03/01/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/20/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANZ GLOBAL INVESTORS U.S. HOLDINGS LLCSOLE MEMBER
GHANI, VISHANFINANCIAL OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER7190513
OCHOCO, JONATHAN GUERREROCHIEF COMPLIANCE OFFICER6850835

Disclosures

Regulatory Event2
Civil Event2

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.

Company Information

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

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