Stephan A. Werth
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.
Stephan Alan Werth was a registered financial professional .
Stephan is a previously registered financial professional and started their career in finance in 2000. Stephan had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2006 - June 3, 2019
LODESTAR PRIVATE ASSET MANAGEMENT LLC
February 11, 2005 - August 17, 2006
QA3 FINANCIAL LLC
February 25, 2002 - August 17, 2006
QA3 FINANCIAL CORP.
February 23, 2001 - July 24, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 10, 2000 - December 11, 2000
NATIONAL PLANNING CORPORATION
Primary Firm SEC Registration
LODESTAR PRIVATE ASSET MANAGEMENT LLC
CRD#: 107638 / SEC#: 801-37511
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
Current Firm
LODESTAR PRIVATE ASSET MANAGEMENT LLC
CRD#: 107638 / SEC#: 801-37511
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,809 |
| AUM (Assets Under Management) | $ 1,115,962,886 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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