Stephanie J. Owen
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.
Stephanie Jean Owen, who also goes by Stephanie Jean Winker, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2001. Stephanie had worked at 8 firms and has passed the Series 66 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
October 17, 2012 - June 13, 2013
NORTHERN LIGHTS DISTRIBUTORS, LLC
May 1, 2010 - January 26, 2012
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 1, 2010 - December 5, 2011
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
April 13, 2005 - May 1, 2010
BOFA ADVISORS, LLC
April 1, 2003 - April 12, 2005
COLUMBIA MANAGEMENT ADVISORS, INC.
June 4, 2002 - April 1, 2003
STEIN ROE & FARNHAM INCORPORATED
May 15, 2002 - June 3, 2002
STEIN ROE & FARNHAM INCORPORATED
May 14, 2002 - May 1, 2010
BOFA DISTRIBUTORS, INC.
August 15, 2001 - May 15, 2002
FIDELITY BROKERAGE SERVICES LLC
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
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
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.
