Stephen A. Stephenson
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 Anthony Stephenson was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1969. Stephen had worked at 4 firms and has passed the Series 7 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
March 29, 1977 - January 18, 1980
FIRST AFFILIATED SECURITIES, INC.
May 22, 1975 - May 14, 1977
LPL FINANCIAL LLC
February 6, 1973 - November 30, 1973
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 2, 1969 - April 22, 1973
SHEARSON, HAMMILL & CO., 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
Series 1
Date: 5/27/1969
Registered Representative ExaminationCurrent Firm
FIRST AFFILIATED SECURITIES, INC.
CRD#: 6871 / SEC#: , 8-20558
Contact information
Documents
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.
