AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SH

Steven S. Hampton

FIRST TRYON SECURITIES
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 4674165
SH

Professional summary

Steven S Hampton, who also goes by Steven S. Hampton, Steven S Hamzah, is a registered financial professional currently at FIRST TRYON SECURITIES, LLC located in Charlotte, North Carolina.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2004. Steven has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven S. Hampton | Steven S Hamzah

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 S Hampton'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

April 1, 2024 - Present

FIRST TRYON SECURITIES, LLC

Office #1: 6101 Carnegie Blvd #210, Charlotte, NC 28209
BD
CRD#: 7336
Charlotte, NC
Past

January 16, 2018 - March 27, 2024

ZEUS FINANCIAL, LLC

BD
CRD#: 18192
Charlotte, NC
Past

February 21, 2013 - December 13, 2017

NATHAN HALE CAPITAL, LLC

BD
CRD#: 123650
CHARLOTTE, NC
Past

August 2, 2004 - February 20, 2013

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BD
CRD#: 6950
CHARLOTTE, NC

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
Florida
(4/1/2024)
RR
North Carolina
(4/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FT
FIRST TRYON SECURITIES, LLC
BRUNNEMER & CO. | FIRST TRYON SECURITIES, LLC | FIRST CHARLOTTE CORPORATION

CRD#: 7336 / SEC#: , 8-21426

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
6101 Carnegie Blvd #210, Charlotte, NC 28209
Mailing Address
6101 Carnegie Blvd #210, Charlotte, NC 28209
Phone number
(704) 372-6118
Established
North Carolina since 07/25/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BRUNNEMER & CO.MEMBER
BRUNNEMER, HUBER KEITH IIIMEMBER, CEO, PRESIDENT AND EXECUTIVE REPRESENTATIVE2758256
BECK, ERIC JASONCCO4824373
BRUNNEMER, HEBER KEITH JRMEMBER33824
CARPENTER, MARGARET BRUNNEMER MS.MEMBER, CHIEF FINANCIAL OFFICER, FINOP,2042716
HOWELL, ELIZABETH WARRENMEMBER, SENIOR VICE PRESIDENT4791377
JOSEPH, ERIC MICHAELMEMBER, SENIOR VICE PRESIDENT4001509
WARDLAW, CRAIG M JR.MEMBER, SENIOR VICE PRESIDENT5316503

Disclosures

Regulatory Event1

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

FIRST TRYON SECURITIES, LLC

CRD#: 7336Charlotte, NC 28209

TRUST BUT VERIFY

Monitor Steven Hampton

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

David Blair Thompson
David ThompsonAdvisorCheck Check Mark
SPARTA WEALTH PARTNERS
IAR
RR
CHARLOTTE, NC
Jon Hoyle
Jon HoyleAdvisorCheck Check Mark
INNOVATION PARTNERS LLC
RR
Charlotte, NC
Andrew Michael Pasquale Digirolamo
Andrew DigirolamoAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
Charlotte, NC
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics