Stephen P. Scanlon
Professional summary
Stephen Patrick Scanlon, who also goes by Stephen P Scanlon, Stephen Patrick Scanlon, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in San Diego, California and CETERA WEALTH SERVICES, LLC located in San Diego, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Patrick Scanlon's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 17, 2017 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101March 17, 2017 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101March 17, 2017 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101March 17, 2017 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101March 17, 2017 - November 1, 2017
GIRARD SECURITIES, INC.
March 17, 2017 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
March 17, 2017 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
November 13, 2013 - November 1, 2016
SCOTTRADE, INC.
May 24, 2012 - September 19, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 13, 2006 - February 27, 2009
E*TRADE SECURITIES LLC
April 18, 2002 - May 8, 2006
BROWNCO, LLC
November 24, 1999 - June 7, 2002
DREYFUS BROKERAGE SERVICES, INC.
July 6, 1998 - October 26, 1999
NATIONAL CLEARING CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/17/2017)
Exams
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
