Steven A. Stemper
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 Allen Stemper, who also goes by Steve Stemper, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1974. Steven had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 1991 - November 16, 1995
FIRST LINCOLN INVESTMENTS, INC.
June 23, 1986 - December 31, 1990
PRINCIPAL SECURITIES, INC.
August 17, 1983 - August 14, 1986
FIRST LINCOLN INVESTMENTS, INC.
November 26, 1982 - August 1, 1983
VANTAGE SECURITIES OF COLORADO, INC.
September 1, 1977 - October 20, 1982
WADDELL & REED
January 19, 1977 - June 12, 1977
NEW ENGLAND SECURITIES
May 14, 1974 - January 26, 1976
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 14, 1974 - January 26, 1976
OSAIC FA, 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
Series 1
Date: 5/9/1974
Registered Representative ExaminationCurrent Firm
FIRST LINCOLN INVESTMENTS, INC.
CRD#: 7076 / SEC#: , 8-20153
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROONEY, MICHAEL JOSEPH | CCO, PRESIDENT, PRINCIPAL | 1828399 |
Disclosures
| Regulatory Event | 2 |
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.
