Stephen T. Rangen
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 Thorleif Rangen was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1973. Stephen had worked at 6 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 27, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 1992 - February 13, 1995
GILFORD SECURITIES INCORPORATED
July 8, 1988 - April 23, 1992
LEHMAN BROTHERS INC.
August 31, 1984 - June 24, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
March 18, 1980 - September 28, 1984
BECKER PARIBAS INCORPORATED
March 8, 1978 - April 28, 1980
CIBC WORLD MARKETS CORP.
November 6, 1973 - April 17, 1978
E. F. HUTTON & COMPANY INC
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 15
Date: 5/29/1985
Foreign Currency Options ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 11/2/1973
Registered Representative ExaminationCurrent Firm
GILFORD SECURITIES INCORPORATED
CRD#: 8076 / SEC#: , 8-24230
Contact information
Documents
Disclosures
| Regulatory Event | 21 |
| Arbitration | 29 |
Red Flags
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