Stephen H. Perraud
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 Henry Perraud was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 3 firms and has passed the Series 63, Series 55 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
January 14, 2016 - May 13, 2021
KLOCKE CAPITAL GROUP, LLC
November 7, 2003 - March 3, 2004
GILFORD SECURITIES INCORPORATED
November 17, 2000 - May 13, 2002
SCHONFELD SECURITIES, LLC
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
Series 55
Date: 2/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
KLOCKE CAPITAL GROUP, LLC
CRD#: 156160 / SEC#: 801-72111
Contact information
Regulatory assets under management
| Total Number of Accounts | 226 |
| AUM (Assets Under Management) | $ 86,495,310 |
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.
