Michael R. 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.
Michael Robert Stephens was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2014 - January 28, 2016
WOODSTOCK FINANCIAL GROUP, INC.
May 6, 2002 - May 14, 2002
GIT SECURITIES CORPORATION
January 31, 2002 - May 10, 2002
WOODSTOCK FINANCIAL GROUP, INC.
May 14, 2001 - June 7, 2001
HAPOALIM SECURITIES USA, INC.
January 5, 2001 - March 13, 2001
HARRISON SECURITIES, INC.
November 3, 2000 - January 8, 2001
GLENN MICHAEL FINANCIAL, INC.
October 20, 1999 - October 27, 2000
ROYAL HUTTON SECURITIES CORP.
July 7, 1999 - October 21, 1999
J.P. TURNER & COMPANY, L.L.C.
September 4, 1998 - July 14, 1999
MORGAN WILSHIRE SECURITIES, INC.
August 21, 1998 - September 1, 1998
FIRST ASSET MANAGEMENT, INC.
May 5, 1998 - August 4, 1998
WALSH MANNING SECURITIES, 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
Exams
Current Firm
WOODSTOCK FINANCIAL GROUP, INC.
CRD#: 38095 / SEC#: 801-65881, 8-48080
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOODSTOCK HOLDINGS INC | HOLDING COMPANY | |
| BRANCA, ANTHONY DOUGLAS | CHIEF COMPLIANCE OFFICER OF BD | 1178639 |
| BRANCA, ANTHONY DOUGLAS | CHIEF OPERATING OFFICER | 1178639 |
| RAIKE, WILLIAM JASPER III | CHIEF COMPLIANCE OFFICER - RIA | 1502298 |
| RAIKE, WILLIAM JASPER III | PRESIDENT / CEO | 1502298 |
| RAIKE, WILLIAM JASPER III | ROSFP | 1502298 |
| WHITLEY, MELISSA LYNN | CHIEF FINANCIAL OFFICER / FINOP | 2615710 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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