SC
Stephen H. Cartwright
THURSTON, SPRINGER, MILLER, HERD & TITAK
Bexley, OH
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CRD#: 42290
SC
Professional summary
Stephen Headley Cartwright is a registered financial professional currently at THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Bexley, Ohio.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1967. Stephen has worked at 4 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, Series 7TO, Series 52TO, SIE, Series 55, Series 1, Series 24 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Headley Cartwright's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 13, 2023 - Present
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
BD
CRD#: 8478
Bexley, OH
Past
August 27, 2019 - January 17, 2023
BOENNING & SCATTERGOOD, INC.
BD
CRD#: 100
Columbus, OH
Past
June 14, 2017 - November 14, 2018
CARTWRIGHT ADVISORS LLC
RIA
CRD#: 286260
COLUMBUS, OH
Past
November 13, 1967 - September 24, 2019
SWENEY CARTWRIGHT & COMPANY
BD
CRD#: 3546
COLUMBUS, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/13/2023)
RR
Colorado(1/13/2023)
RR
District of Columbia(4/11/2025)
RR
Florida(4/11/2025)
RR
Indiana(11/29/2023)
RR
Kentucky(1/13/2023)
RR
Maryland(4/11/2025)
RR
Massachusetts(1/13/2023)
RR
Michigan(1/13/2023)
RR
Missouri(4/11/2025)
RR
New York(1/13/2023)
RR
North Carolina(4/11/2025)
RR
Ohio(1/13/2023)
RR
Oklahoma(1/13/2023)
RR
Oregon(11/29/2023)
RR
South Carolina(4/11/2025)
RR
Tennessee(4/11/2025)
RR
Texas(1/13/2023)
RR
Vermont(1/13/2023)
RR
Virginia(4/11/2025)
RR
Washington(4/11/2025)
RR
West Virginia(4/11/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/14/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 1
Date: 5/4/1959
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 10/24/1967
General Securities Principal ExaminationSRO Registrations
RR
FINRA
Current Firm
TS
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | TRILOGY WEALTH MANAGEMENT | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. INSURANCE AGENCY | THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. | THURSTON, SPRINGER, MILLER & HERD, INC. | THURSTON, SHUMAKER, MILLER & BURKE, INCORPORATED | THURSTON, MILLER & BURKE, INC. | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | SPRAWLS FINANCIAL | SPENCER FINANCIAL STRATEGIES | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | LIBERTY CONSULTING | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | DAMER WEALTH MANAGEMENT | CRAVENS, LLC | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BAYLEY INVESTMENT GROUP | BALDASSARI ADVISORY | AMERICAN PENSION ADVISORS
CRD#: 8478 / SEC#: 801-63564, 8-25452
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240
Mailing Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240-2142
Phone number
(317) 581-4000
Established
Indiana since 09/12/1980
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICES HOLDINGS, LLC | SOLE SHAREHOLDER | |
| COKER, KAREN LE'ELLEN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PARKER, RICHARD WILSON | CEO | 5497397 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / FINOP / PFO / POO/CCO | 4077413 |
| RUDNICK, REGINA MARY | HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
Disclosures
| Regulatory Event | 3 |
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.
