Linda L. Stephens
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.
Linda Louise Stephens, who also goes by Linda L Stephens, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 2000. Linda had worked at 5 firms and has passed the 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 31, 2014 - January 3, 2022
CAPE SECURITIES INC.
December 11, 2008 - September 30, 2014
RESOURCE HORIZONS GROUP LLC
April 19, 2004 - August 26, 2008
FIRST HEARTLAND CAPITAL, INC.
February 4, 2002 - April 27, 2004
THE O.N. EQUITY SALES COMPANY
May 30, 2000 - January 30, 2002
SECURIAN 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
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
