Steven C. Saulque
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.
Steven Craig Saulque, who also goes by Steve Saulque, Steven Craig Saulque, Steven C Saulque, Steven Saulque, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 18 firms and has passed the Series 66, Series 6TO, SIE, Series 31 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
May 19, 2024 - September 16, 2024
EMERSON EQUITY LLC
November 3, 2023 - April 17, 2024
SKYWAY CAPITAL MARKETS, LLC
October 24, 2023 - March 1, 2024
COBALT CAPITAL, INC.
August 16, 2022 - July 5, 2023
DISTRIBUTION SERVICES, LLC
February 25, 2022 - August 18, 2022
WILDERMUTH SECURITIES, LLC
June 14, 2019 - February 3, 2022
CABOT LODGE SECURITIES LLC
March 4, 2016 - January 8, 2018
ATEL SECURITIES CORPORATION
May 17, 2012 - February 2, 2016
ALPS DISTRIBUTORS, INC.
August 15, 2011 - January 9, 2012
CETERA INVESTMENT SERVICES LLC
August 15, 2011 - January 9, 2012
CETERA INVESTMENT SERVICES LLC
June 9, 2010 - August 18, 2011
VALIC FINANCIAL ADVISORS, INC.
June 3, 2010 - August 18, 2011
VALIC FINANCIAL ADVISORS, INC.
January 20, 2009 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
January 20, 2009 - January 28, 2010
VALIC FINANCIAL ADVISORS, INC.
April 17, 2008 - December 18, 2008
CONCORDIUS CAPITAL ADVISORS
February 26, 2008 - December 31, 2008
WFG INVESTMENTS, INC.
July 23, 2007 - November 2, 2007
CHARLES SCHWAB & CO., INC.
July 23, 2007 - November 2, 2007
CHARLES SCHWAB & CO., INC.
April 26, 2006 - November 30, 2006
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 26, 2006 - November 30, 2006
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 16, 2005 - February 21, 2006
KELMOORE INVESTMENT COMPANY, INC.
August 24, 2004 - February 21, 2006
KELMOORE INVESTMENT COMPANY, INC.
March 15, 2004 - September 1, 2004
STATE FARM VP MANAGEMENT CORP.
October 28, 2002 - February 3, 2004
STATE FARM VP MANAGEMENT CORP.
June 21, 1999 - January 28, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
