Stephen H. Bixby
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 Hunt Bixby was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2003. Stephen had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2017 - February 21, 2018
DAVID LERNER ASSOCIATES, INC.
March 3, 2015 - March 18, 2016
GWN SECURITIES INC.
December 22, 2014 - March 18, 2016
GWN SECURITIES INC.
January 1, 2014 - April 25, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
April 24, 2003 - January 27, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
April 21, 2003 - January 27, 2005
IDS LIFE INSURANCE COMPANY
April 21, 2003 - January 27, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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