Stephen C. Wooten
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 C Wooten, who also goes by Stephen Charles Wooten, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2015 - March 31, 2024
ALPHA CUBED INVESTMENTS, LLC
November 5, 2008 - January 27, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 2008 - January 27, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2006 - August 15, 2008
LIGHTHOUSE CAPITAL MANAGEMENT
February 10, 2006 - December 31, 2006
QUASAR DISTRIBUTORS, LLC
July 30, 2003 - October 14, 2005
TD AMERITRADE, INC.
November 3, 1999 - October 14, 2005
TD AMERITRADE, INC.
Primary Firm SEC Registration
ALPHA CUBED INVESTMENTS, LLC
CRD#: 159347 / SEC#: 801-77372
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
ALPHA CUBED INVESTMENTS, LLC
CRD#: 159347 / SEC#: 801-77372
Contact information
SEC notice filing (44 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,786 |
| AUM (Assets Under Management) | $ 3,026,637,539 |
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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