Dudley Franklin Stephens | Financial Professional

Professional summary

Dudley Franklin Stephens was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Dudley is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Dudley had worked at 15 firms, which includes REALTA INVESTMENT ADVISORS INC, REALTA EQUITIES INC., PROSPERA FINANCIAL SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, HSBC SECURITIES (USA) INC., BROOKSTONE SECURITIES INC., WALLSTREET*E FINANCIAL SERVICES INC., AURA FINANCIAL SERVICES INC., MOMENTUM INDEPENDENT NETWORK INC., MAX INTERNATIONAL BROKER/DEALER CORP., PRUCO SECURITIES LLC., CONTINENTAL BROKER-DEALER CORP., PRESTON LANGLEY ASSET MANAGEMENT INC., COUCH & COMPANY INCORPORATED, D.L. CROMWELL INVESTMENTS INC..

Question & Answer

Are you a "fiduciary"?

No

Aliases

Stephen Franklin Dudley

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 20, 2017 - July 23, 2018

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

New York, NY

Past

November 22, 2016 - July 23, 2018

REALTA EQUITIES, INC.

BD

CRD#: 23769

New York, NY

Past

January 21, 2016 - October 27, 2016

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

New York, NY

Past

April 22, 2014 - December 31, 2015

PROSPERA FINANCIAL SERVICES, INC.

RIA

CRD#: 10740

New York, NY

Past

April 16, 2014 - October 27, 2016

PROSPERA FINANCIAL SERVICES, INC.

BD

CRD#: 10740

New York, NY

Past

May 6, 2013 - April 24, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEW YORK, NY

Past

May 3, 2013 - April 24, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD

CRD#: 19616

NEW YORK, NY

Past

February 25, 2011 - June 3, 2013

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

January 11, 2011 - June 3, 2013

HSBC SECURITIES (USA) INC.

BD

CRD#: 19585

NEW YORK, NY

Past

June 23, 2008 - January 7, 2011

BROOKSTONE SECURITIES, INC.

BD

CRD#: 13366

BROOKLYN, NY

Past

June 20, 2005 - July 23, 2008

WALLSTREET*E FINANCIAL SERVICES, INC.

BD

CRD#: 43896

NEW YORK, NY

Past

November 8, 2004 - June 3, 2005

AURA FINANCIAL SERVICES, INC.

BD

CRD#: 42822

BIRMINGHAM, AL

Past

May 11, 2004 - September 16, 2004

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

BROOKLYN, NY

Past

May 11, 2004 - September 16, 2004

MOMENTUM INDEPENDENT NETWORK INC.

BD

CRD#: 17587

DALLAS, TX

Past

April 18, 2002 - April 26, 2004

MAX INTERNATIONAL BROKER/DEALER CORP.

BD

CRD#: 46039

NEW YORK, NY

Past

January 11, 2002 - March 7, 2002

PRUCO SECURITIES, LLC.

BD

CRD#: 5685

NEWARK, NJ

Past

March 23, 2001 - January 15, 2002

CONTINENTAL BROKER-DEALER CORP.

BD

CRD#: 14048

CARLE PLACE, NY

Past

January 11, 2001 - April 24, 2001

PRESTON LANGLEY ASSET MANAGEMENT, INC.

BD

CRD#: 35733

NEW YORK, NY

Past

October 30, 2000 - December 1, 2000

COUCH & COMPANY, INCORPORATED

BD

CRD#: 18433

NEW YORK, NY

Past

August 8, 2000 - November 2, 2000

D.L. CROMWELL INVESTMENTS, INC.

BD

CRD#: 37730

BOCA RATON, FL

Past

April 7, 2000 - August 2, 2000

MAX INTERNATIONAL BROKER/DEALER CORP.

BD

CRD#: 46039

NEW YORK, NY

Past

February 9, 2000 - April 6, 2000

CONTINENTAL BROKER-DEALER CORP.

BD

CRD#: 14048

CARLE PLACE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

RR

IAR

Series 66

Date: 2/24/2011

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/29/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 3/15/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 7/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 2/8/2000

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 9

Date: 4/2/2013

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/28/2010

General Securities Principal Examination

Current Firm

RI

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

64

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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.

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Advisor Monitoring

Firm Stability Insights

Dudley F. Stephens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

REALTA EQUITIES, INC.

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

PROSPERA FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

BROOKSTONE SECURITIES, INC.

WALLSTREET*E FINANCIAL SERVICES, INC.

AURA FINANCIAL SERVICES, INC.

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

MAX INTERNATIONAL BROKER/DEALER CORP.

PRUCO SECURITIES, LLC.

CONTINENTAL BROKER-DEALER CORP.

PRESTON LANGLEY ASSET MANAGEMENT, INC.

COUCH & COMPANY, INCORPORATED

D.L. CROMWELL INVESTMENTS, INC.

MAX INTERNATIONAL BROKER/DEALER CORP.

CONTINENTAL BROKER-DEALER CORP.

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/24/2011

Series 65

Date: 1/29/2002

Series 63

Date: 3/15/2000

SIE

Date: 7/23/2018

Series 7

Date: 2/8/2000

Series 9

Date: 4/2/2013

Series 24

Date: 1/28/2010

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

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