Stephen A. Hoen
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 Andrew Hoen, who also goes by Stephen Andrew Hoen Sr, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2013 - September 20, 2013
CUSO FINANCIAL SERVICES, L.P.
February 25, 2013 - September 20, 2013
CUSO FINANCIAL SERVICES, L.P.
March 9, 2009 - February 28, 2013
LPL FINANCIAL LLC
March 6, 2009 - February 28, 2013
LPL FINANCIAL LLC
November 2, 2005 - March 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 2, 2005 - March 9, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 19, 2002 - November 2, 2005
MORGAN STANLEY DW INC.
August 23, 2001 - November 2, 2005
MORGAN STANLEY DW INC.
April 28, 2000 - June 1, 2001
ASSET PLANNING SOLUTIONS, INC.
September 7, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 7, 1999 - March 23, 2000
EQUITABLE ADVISORS, 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
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 |
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.
