Stephen F. Ferretti
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 Francis Ferretti was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2011 - May 8, 2017
INVESTMENT ADVISORS ASSET MANAGEMENT, LLC
November 29, 2006 - May 11, 2017
OSAIC WEALTH, INC.
November 11, 1999 - December 4, 2006
INVESTMENT ADVISORS & CONSULTANTS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
INVESTMENT ADVISORS ASSET MANAGEMENT, LLC
CRD#: 128716 / SEC#: 801-62575
Contact information
Red Flags
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