Stephen W. Green
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 Walker Green 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 65, Series 63 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
April 22, 2014 - August 25, 2014
INVEST FINANCIAL CORPORATION
April 21, 2014 - August 25, 2014
INVEST FINANCIAL CORPORATION
April 20, 2012 - May 1, 2014
LPL FINANCIAL LLC
April 20, 2012 - May 1, 2014
LPL FINANCIAL LLC
January 28, 2010 - April 23, 2012
CHASE INVESTMENT SERVICES CORP.
January 27, 2010 - April 23, 2012
CHASE INVESTMENT SERVICES CORP.
May 18, 2006 - January 29, 2010
PHILLIPS & COMPANY
March 14, 2006 - January 29, 2010
PHILLIPS & COMPANY
September 23, 2004 - March 14, 2006
PAULSON INVESTMENT COMPANY LLC
September 23, 2004 - March 14, 2006
PAULSON INVESTMENT COMPANY LLC
June 7, 2004 - September 3, 2004
PHILLIPS & COMPANY
July 29, 2003 - September 3, 2004
PHILLIPS & COMPANY
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 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.
