Stephen A. Lasher
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 Andrew Lasher SR., who also goes by Stephen Andrew Lasher, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1971. Stephen had worked at 3 firms and has passed the Series 79TO, Series 99TO, Series 7TO, SIE, Series 41, PC, Series 000, Series 1, Series 24, Series 14, Series 4, Series 12 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
October 9, 1991 - August 20, 2021
GULFSTAR GROUP I, LTD.
January 1, 1991 - January 11, 1991
UBS FINANCIAL SERVICES INC.
July 9, 1971 - January 1, 1991
ROTAN MOSLE 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 41
Date: 5/23/1980
NYSE Allied Member ExaminationPC
Date: 9/6/1977
AMEX Put and Call ExamSeries 000
Date: 7/9/1971
General Securities Principal ExaminationSeries 1
Date: 7/9/1971
Registered Representative ExaminationSeries 12
Date: 11/14/1975
NYSE Branch Manager ExaminationSeries 40
Date: 10/24/1975
Registered Principal ExaminationCurrent Firm
GULFSTAR GROUP I, LTD.
CRD#: 28922 / SEC#: , 8-43999
Contact information
FINRA licenses (21 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GULFSTAR HOLDINGS, INC. | LIMITED PARTNER | |
| IBC SUBSIDIARY CORPORATION | LIMITED PARTNER | |
| GULFSTAR GROUP GP, LLC | GENERAL PARTNER | |
| LUEDDE, FULLERTON W III | PRESIDENT/CCO/CEO | 3218204 |
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.
