Lucien A. Stephenson
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.
Lucien Austin Stephenson, who also goes by Lu Stephenson, Lucien Stephenson, was a registered financial professional .
Lucien is a previously registered financial professional and started their career in finance in 1998. Lucien had worked at 6 firms and has passed the Series 65, Series 63 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
January 29, 2015 - December 31, 2019
STEPHENSON AND COMPANY
May 20, 2013 - December 31, 2014
STEPHENSON AND COMPANY
February 3, 2011 - May 10, 2013
G. A. REPPLE & COMPANY
February 1, 2011 - May 10, 2013
G. A. REPPLE & COMPANY
March 2, 2009 - February 7, 2011
MSI FINANCIAL SERVICES, INC.
January 27, 2009 - February 7, 2011
MSI FINANCIAL SERVICES, INC.
April 30, 2007 - October 15, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 26, 2002 - October 15, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 15, 1999 - August 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 1999 - August 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 1998 - December 6, 1999
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STEPHENSON AND COMPANY
CRD#: 167629 / SEC#:
Contact information
Red Flags
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