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SD

Stephen J. Dedyo

THORNBURG SECURITIES LLC
Santa Fe, NM 87506
Some features on this profile are disabled
CRD#: 4064392
SD

Professional summary

Stephen James Dedyo, who also goes by Stephen Dedyo, is a registered financial professional currently at THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Dedyo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen James Dedyo's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 17, 2023 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506
BD
CRD#: 14857
Santa Fe, NM
Past

August 12, 2020 - January 10, 2023

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

December 27, 2016 - November 22, 2019

MANNING & NAPIER INVESTOR SERVICES, INC.

BD
CRD#: 26266
NEW YORK, NY
Past

June 29, 2016 - December 5, 2016

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ
Past

January 6, 2014 - May 4, 2016

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
NEW YORK, NY
Past

September 17, 2012 - December 31, 2013

NEXBANK SECURITIES INC

BD
CRD#: 133267
NEW YORK, NY
Past

May 6, 2008 - September 21, 2012

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
NEW YORK, NY
Past

March 14, 2001 - April 14, 2008

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NEW YORK, NY
Past

December 7, 2000 - February 21, 2001

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
NASHVILLE, TN
Past

February 4, 2000 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

BD
CRD#: 1232
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Louisiana
(1/17/2023)
RR
New Mexico
(1/17/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/30/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/24/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/3/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THORNBURG SECURITIES LLC
THORNBURG SECURITIES CORPORATION | THORNBURG SECURITIES LLC

CRD#: 14857 / SEC#: , 8-31249

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Mailing Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Phone number
(505) 984-0200
Established
Delaware since 12/28/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THORNBURG INVESTMENT MANAGEMENT INCSOLE MEMBER106357
BHATT, NIMISH SANJAYTREASURER, PRINCIPAL FINANCIAL OFFICER2789977
BROWNELL, JESSE RYANGLOBAL HEAD OF DISTRIBUTION5511918
CALLOW, AMYSECRETARY
HOLLOWAY, CURTIS EDWARDPRINCIPAL OPERATIONS OFFICER5130594
OLEXSAK, RONALDCHIEF COMPLIANCE OFFICER2858575

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.

Company Information

THORNBURG SECURITIES LLC

CRD#: 14857Santa Fe, NM 87506

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