Stephen G. Ordonez
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 Grogan Ordonez, who also goes by Steve Ordonez, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 6 firms and has passed the Series 66, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2013 - December 31, 2013
RESOURCE HORIZONS GROUP LLC
May 19, 2009 - July 18, 2011
AXIOM CAPITAL MANAGEMENT, INC.
February 11, 2009 - May 20, 2009
W.A. CAPITAL MARKETS
August 26, 2005 - June 15, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2005 - June 15, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2005 - August 31, 2005
MORGAN STANLEY DW INC.
June 5, 2000 - August 31, 2005
MORGAN STANLEY DW INC.
January 19, 1999 - August 17, 1999
OSCAR GRUSS & SON INCORPORATED
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
RESOURCE HORIZONS GROUP LLC
CRD#: 104368 / SEC#: , 8-52830
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
