Steve K. Bramlett
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.
Steve Kertis Bramlett was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2000. Steve had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2017 - September 10, 2020
SECURITIES MANAGEMENT & RESEARCH, INC.
January 21, 2015 - October 2, 2015
MSI FINANCIAL SERVICES, INC.
December 15, 2010 - February 2, 2015
SECURITIES MANAGEMENT & RESEARCH, INC.
April 22, 2010 - August 3, 2010
FBL MARKETING SERVICES, LLC
December 3, 2007 - January 12, 2010
SECURITIES MANAGEMENT & RESEARCH, INC.
December 19, 2006 - April 20, 2007
EQUITABLE ADVISORS, LLC
February 21, 2006 - December 20, 2006
1717 CAPITAL MANAGEMENT COMPANY
November 10, 2004 - July 14, 2005
FORESTERS EQUITY SERVICES, INC.
February 24, 2003 - October 2, 2003
ALLSTATE FINANCIAL SERVICES, LLC
April 17, 2002 - February 28, 2003
PARK AVENUE SECURITIES LLC
May 22, 2001 - February 4, 2002
HORNOR, TOWNSEND & KENT, LLC
January 8, 2001 - January 19, 2001
ALLSTATE FINANCIAL SERVICES, LLC
October 27, 2000 - March 27, 2001
FORESTERS EQUITY 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
SECURITIES MANAGEMENT & RESEARCH, INC.
CRD#: 759 / SEC#: 801-8002, 8-12745
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE FINANCIAL, INC. | PARENT | |
| BERTHEL, THOMAS JOSEPH | CHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT | 823289 |
| CHAPMAN, KIMBERLY KAREN EARLY | CHIEF COMPLIANCE OFFICER | 2527036 |
| CHRISTOFFERSON, ANDREW JAMES | CHIEF EXECUTIVE OFFICER/PRESIDENT | 3248381 |
| DAVENPORT, SHELLEY RAE | VICE PRESIDENT LEGAL & REGULATORY MATTERS | 2131376 |
| HOHN, JAMES RALPH | VICE PRESIDENT/TECHNOLOGY | 5413776 |
| MEEHAN, DANIEL GERARD | VICE PRESIDENT RECRUITING | 2264556 |
| MURPHY, RICHARD MAURICE | EXECUTIVE VICE PRESIDENT | 4893748 |
| NOETHEN, BRITTANY MICHELLE | CHIEF TECHNOLOGY OFFICER | 2610543 |
| RUPP, BRIAN MICHAEL | CHIEF FINANCIAL OFFICER/TREASURER | 6721718 |
| SCHAUL, JOANNA MARIE | CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 4947759 |
| WILCOX, RANDY AUSTIN | VICE PRESIDENT COMPLIANCE/OSJ MANAGER | 4346998 |
Disclosures
| Regulatory Event | 4 |
| 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.
