Stephen F. Collins
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 Fraser Collins, who also goes by Stephen F Collins, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 4 firms and has passed the 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
April 4, 2008 - July 14, 2014
TD AMERITRADE, INC.
April 4, 2008 - July 14, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 27, 2008 - July 14, 2014
TD AMERITRADE, INC.
July 23, 2004 - February 1, 2007
CITIGROUP GLOBAL MARKETS INC.
July 16, 2004 - February 1, 2007
CITIGROUP GLOBAL MARKETS INC.
January 26, 2001 - July 21, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 2000 - July 21, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
