Stephen W. Cannon
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 William Cannon was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 10 firms and has passed the Series 000, Series 1 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 1991 - August 3, 1993
BROUNOFF, CLAIRE & CO., INC.
April 12, 1988 - October 31, 1991
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
June 29, 1987 - April 1, 1988
OPPENHEIMER & CO. INC.
July 25, 1983 - January 27, 1989
BUETTI, CANNON & CO., INCORPORATED
June 18, 1981 - July 5, 1983
PURCELL GRAHAM INCORPORATED
April 19, 1979 - April 28, 1982
TP ICAP GLOBAL MARKETS AMERICAS LLC
September 16, 1977 - March 1, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
May 1, 1970 - February 27, 1976
BACHE & CO., 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
Series 000
Date: 4/27/1970
General Securities Principal ExaminationSeries 1
Date: 4/27/1970
Registered Representative ExaminationCurrent Firm
BROUNOFF, CLAIRE & CO., INC.
CRD#: 1325 / SEC#: , 8-16776
Contact information
Documents
Red Flags
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