Stanley M. Steppes
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.
Stanley Marquis Steppes, who also goes by Stanley Steppes, Stanley Marquis Stepps, was a registered financial advisor .
Stanley is a previously registered financial advisor and started their career in finance in 2004. Stanley had worked at 8 firms and has passed the Series 65, 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
July 2, 2013 - December 31, 2013
CHRISTIAN ALEXANDER WEALTH ADVISORS, LLC
January 3, 2013 - April 18, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 4, 2012 - April 18, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 15, 2010 - January 9, 2012
FENWICK SECURITIES, INC.
March 19, 2008 - January 6, 2010
BROADSTONE SECURITIES
November 2, 2006 - November 14, 2007
NATCITY INVESTMENTS, INC.
February 10, 2006 - October 18, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
September 8, 2004 - April 22, 2005
RAYMOND JAMES FINANCIAL SERVICES, 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
Current Firm
CHRISTIAN ALEXANDER WEALTH ADVISORS, LLC
CRD#: 167161 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
