Stephen H. Landolt
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 Henry Landolt, who also goes by Stephen H Landolt, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 1, Series 28, Series 4, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2017 - December 31, 2020
LEY INVESTMENT ADVISORS
August 21, 2017 - December 22, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - December 22, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
September 9, 2013 - August 21, 2017
FINANCIAL WEST GROUP
September 9, 2013 - August 21, 2017
FINANCIAL WEST GROUP
March 26, 2002 - August 16, 2013
LANDOLT SECURITIES, INC.
July 26, 1991 - August 16, 2013
LANDOLT SECURITIES, INC.
May 25, 1982 - July 29, 1991
HOWE BARNES HOEFER & ARNETT, INC.
February 20, 1970 - June 10, 1982
THOMSON MCKINNON SECURITIES INC.
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
Series 55
Date: 12/24/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 2/12/1962
Registered Representative ExaminationSeries 28
Date: 4/16/1991
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 5/10/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 12/14/1977
Registered Principal ExaminationCurrent Firm
LEY INVESTMENT ADVISORS
CRD#: 291527 / SEC#:
Contact information
Red Flags
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