Stephen W. Bryant
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 Whitcomb Bryant was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1971. Stephen had worked at 11 firms and has passed the Series 63, SIE, PC, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2010 - June 1, 2017
FINANCIAL WEST GROUP
February 25, 2005 - March 30, 2010
GUNNALLEN FINANCIAL, INC
September 29, 2004 - March 4, 2005
J.P. TURNER & COMPANY, L.L.C.
May 10, 2002 - October 1, 2004
FIRST MONTAUK SECURITIES CORP.
September 29, 1998 - May 16, 2002
ROTH CAPITAL PARTNERS, LLC
March 21, 1995 - November 4, 1998
H.J. MEYERS & CO., INC.
October 6, 1994 - June 26, 1995
MEYERS SECURITIES CORPORATION
December 9, 1993 - October 12, 1994
DICKINSON & CO.
November 23, 1988 - December 13, 1993
WEDBUSH SECURITIES INC.
December 7, 1971 - August 30, 1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
January 26, 1971 - January 13, 1972
DUPONT WALSTON, INCORPORATED
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
PC
Date: 9/6/1977
AMEX Put and Call ExamSeries 1
Date: 8/14/1967
Registered Representative ExaminationSeries 40
Date: 11/19/1973
Registered Principal ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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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