Stephen J. Schoen
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 Joel Schoen, who also goes by Steven Joel Schoen, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1966. Stephen had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 000, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2006 - January 31, 2014
TRICAPITAL ADVISORS INC
April 12, 2006 - June 7, 2006
GROVE POINT INVESTMENTS, LLC
April 3, 2006 - June 7, 2006
GROVE POINT INVESTMENTS, LLC
March 13, 2003 - April 4, 2006
TRICAPITAL ADVISORS INC
March 10, 2003 - December 31, 2004
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 5, 1998 - March 14, 2003
MORGAN STANLEY DW INC.
March 22, 1990 - March 14, 2003
MORGAN STANLEY DW INC.
November 19, 1985 - February 1, 1990
PRUDENTIAL EQUITY GROUP, LLC
December 7, 1975 - March 10, 1979
KUHNS BROTHERS & LAIDLAW, INC.
March 21, 1975 - April 8, 1977
RUDOLPH & SCHOEN INCORPORATED SCHOEN, INC.
February 4, 1970 - March 21, 1975
DONATELLI RUDOLPH & SCHOEN INC
September 16, 1966 - December 20, 1985
E. F. HUTTON & COMPANY INC
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: 9/16/1966
General Securities Principal ExaminationSeries 1
Date: 9/16/1966
Registered Representative ExaminationSeries 00
Date: 12/31/1970
General Securities Principal ExaminationCurrent Firm
TRICAPITAL ADVISORS INC
CRD#: 109224 / SEC#: 801-55933
Contact information
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.
