Stephen P. Pezzullo
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 Paul Pezzullo was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 6 firms and has passed the Series 66, SIE 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
March 14, 2019 - May 2, 2019
SCF INVESTMENT ADVISORS, INC.
March 14, 2019 - May 2, 2019
SCF SECURITIES, INC.
March 6, 2013 - July 17, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
March 6, 2013 - July 17, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
November 13, 2006 - March 28, 2013
1ST GLOBAL ADVISORS INC
November 26, 2003 - March 28, 2013
1ST GLOBAL CAPITAL CORP.
February 3, 2000 - October 2, 2003
SUNAMERICA SECURITIES, INC.
January 14, 2000 - February 4, 2000
1ST GLOBAL CAPITAL 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
Exams
Current Firm
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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