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SL

Steven P. Larson

MISCHLER FINANCIAL GROUP
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 4537841
SL

Professional summary

Steven Phillip Larson Jr., who also goes by Phil Larson, Steven Phillip Larson, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Stamford, Connecticut.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 4 firms and has passed the Series 63, Series 52TO, Series 50, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phil Larson | Steven Phillip Larson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Phillip Larson Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 1, 2025 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: Harbor Landing 46 Southfield Avenue, Suite 200, Stamford, CT 06902
BD
CRD#: 37818
Stamford, CT
Past

October 25, 2018 - January 24, 2025

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
San Francisco, CA
Past

December 13, 2002 - October 30, 2018

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
SAN FRANCISCO, CA
Past

October 9, 2002 - October 22, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/1/2025)
RR
Colorado
(7/1/2025)
RR
Connecticut
(7/1/2025)
RR
Iowa
(7/1/2025)
RR
Massachusetts
(7/1/2025)
RR
Minnesota
(7/1/2025)
RR
Oregon
(7/1/2025)
RR
Washington
(7/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 7/18/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 50
Date: 3/8/2019
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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.

Company Information

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818Stamford, CT 06902

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