Steven T. Sain
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.
Steven Todd Sain was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2000. Steven had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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
May 9, 2014 - April 30, 2015
BIC DISTRIBUTORS, LLC
September 30, 2011 - March 10, 2014
WILLIAM BLAIR
September 30, 2011 - March 10, 2014
WILLIAM BLAIR
October 11, 2010 - December 1, 2010
DIRECTED SERVICES LLC
July 9, 2010 - December 1, 2010
DIRECTED SERVICES LLC
September 27, 2007 - January 4, 2010
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
October 13, 2005 - September 18, 2007
TRANSAMERICA CAPITAL, LLC
April 5, 2005 - October 5, 2005
ALLSPRING FUNDS DISTRIBUTOR, LLC
August 28, 2002 - April 4, 2005
WELLS FARGO INVESTMENTS, LLC
August 30, 2000 - October 25, 2001
TRANSAMERICA CAPITAL, LLC
State Registrations and Notice Filings
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Exams
Current Firm
BIC DISTRIBUTORS, LLC
CRD#: 152860 / SEC#: , 8-68484
Contact information
Documents
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.
