Jeremy M. Stephenson
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.
Jeremy Marshal Stephenson was a registered financial professional .
Jeremy is a previously registered financial professional and started their career in finance in 2003. Jeremy had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2017 - July 14, 2023
CBOE TRADING, INC.
May 24, 2011 - October 4, 2017
WADDELL & REED
May 10, 2011 - October 4, 2017
WADDELL & REED
October 27, 2009 - April 20, 2011
SCOTTRADE, INC.
August 11, 2005 - October 9, 2009
T. ROWE PRICE ADVISORY SERVICES, INC.
February 15, 2005 - October 9, 2009
T. ROWE PRICE INVESTMENT SERVICES, INC.
March 2, 2004 - October 5, 2004
EQUITABLE ADVISORS, LLC
November 6, 2003 - January 29, 2004
WADDELL & REED
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
CBOE TRADING, INC.
CRD#: 136734 / SEC#: , 8-67043
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CBOE SERVICES COMPANY | OWNER | |
| CHMIELEWSKI, COLE MICHAEL | PRESIDENT | 5740206 |
| GOODMAN, SYDNEY LINDEN | FINOP | 7092589 |
| ISAACSON, CHRISTOPHER ANDREW | DIRECTOR | 5015729 |
| SEXTON, JOHN PATRICK | SECRETARY | 7152089 |
| UPP, WILLIAM BRYAN | CHIEF COMPLIANCE OFFICER | 2976682 |
| WILKINSON, ALLEN LLOYD | VICE PRESIDENT | 7432624 |
| YEAZEL, TROY CHARLES | DIRECTOR | 5492474 |
Disclosures
| Regulatory Event | 1 |
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.
