Stephan P. Vermut
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.
Stephan Paul Vermut was a registered financial professional .
Stephan is a previously registered financial professional and started their career in finance in 1970. Stephan had worked at 9 firms and has passed the Series 63, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2004 - January 22, 2013
WELLS FARGO PRIME SERVICES, LLC
October 1, 1997 - March 4, 2003
BANC OF AMERICA SECURITIES LLC
May 8, 1995 - October 1, 1997
MONTGOMERY SECURITIES
March 27, 1984 - March 31, 1995
ABN AMRO SECURITIES LLC
July 14, 1982 - March 16, 1984
MABON, NUGENT & CO.
January 25, 1982 - March 9, 1982
CRALIN SECURITIES COMPANY
December 22, 1981 - July 7, 1982
CRALIN & CO., INC.
February 26, 1981 - November 27, 1981
CANTOR FITZGERALD & CO.
June 22, 1970 - February 19, 1981
L. F. ROTHSCHILD & 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: 1/16/1970
Registered Representative ExaminationSeries 40
Date: 2/14/1977
Registered Principal ExaminationCurrent Firm
WELLS FARGO PRIME SERVICES, LLC
CRD#: 133068 / SEC#: , 8-66677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | OWNER | |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| HALL, JEFFREY | CHIEF OPERATIONS OFFICER | 5292396 |
| KEARNS, WILLIAM J | MANAGER | 2127701 |
| LANGIS, DARREN JOSEPH | MANAGER | 2781108 |
| LEONE, JOHN | MANAGER | 7164476 |
| MCCOOEY, EAMON PATRICK | CEO, PRESIDENT, MANAGER | 1762536 |
| RILEY, MICHAEL FRANCIS | MANAGER | 4165280 |
| YI, SCOTT HUN | CHIEF COMPLIANCE OFFICER | 3152646 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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