Stephen M. Bennett
Professional summary
Stephen Michael Bennett, who also goes by Steve Bennett, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Denver, Colorado.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael Bennett's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 3, 2019 - Present
MISCHLER FINANCIAL GROUP, INC.
Office #1: 2590 Welton Street, Suite 200, Denver, CO 80205June 28, 2016 - July 26, 2018
WELLS FARGO SECURITIES, LLC
April 3, 2014 - July 28, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 26, 2000 - April 1, 2014
ICBA SECURITIES
April 23, 1999 - April 1, 2014
VINING-SPARKS IBG, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/3/2019)
(1/5/2021)
(7/3/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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