Stephen C. Voss
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 Coughlin Voss was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1971. Stephen had worked at 3 firms and has passed the Series 65, Series 63, Series 1, Series 4 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 1973 - February 26, 2003
VOSS & CO., INC.
November 1, 1972 - February 28, 1973
WASHINGTON INVESTMENT PLANNING CO
October 20, 1971 - March 22, 1973
AARSAND & CO.
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: 10/19/1971
Registered Representative ExaminationF04
Date: 12/22/1975
Financial Principal ExaminationCurrent Firm
VOSS & CO., INC.
CRD#: 6405 / SEC#: , 8-17380
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
