Stephen A. Springer
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 Albright Springer, who also goes by Steve Springer, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1970. Stephen had worked at 10 firms and has passed the Series 65, Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2011 - December 31, 2016
TARGET CAPITAL MANAGEMENT, LLC
January 5, 1996 - January 22, 1998
THE BENCHMARK COMPANY, INC.
January 25, 1995 - December 31, 1995
JWGENESIS SECURITIES, INC.
March 13, 1991 - March 9, 1995
FEELEY & WILLCOX SECURITIES CORP.
June 17, 1980 - March 4, 1991
J.P. MORGAN SECURITIES LLC
July 13, 1978 - July 16, 1980
BECKER PARIBAS INCORPORATED
November 22, 1977 - December 3, 1978
LEHMAN BROTHERS INC.
November 2, 1977 - July 13, 1978
BECKER SECURITIES INCORPORATED
September 28, 1976 - November 22, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
July 28, 1970 - October 22, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/16/1977
AMEX Put and Call ExamSeries 1
Date: 7/24/1970
Registered Representative ExaminationCurrent Firm
TARGET CAPITAL MANAGEMENT, LLC
CRD#: 128487 / SEC#:
Contact information
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.
