Stephen D. Evans
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 Dale Evans, who also goes by Stephen D. Evans Mr., Stephen D. Evans, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2006. Stephen had worked at 8 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
April 20, 2022 - April 28, 2026
PORTFOLIO MEDICS, LLC
May 18, 2018 - December 9, 2021
JANNEY MONTGOMERY SCOTT LLC
May 17, 2018 - December 9, 2021
JANNEY MONTGOMERY SCOTT LLC
May 9, 2017 - May 15, 2018
AVONDALE PARTNERS, LLC
March 3, 2017 - May 15, 2018
AVONDALE PARTNERS, LLC
September 3, 2014 - January 23, 2017
KESTRA INVESTMENT SERVICES, LLC
April 25, 2013 - January 23, 2017
WEALTHSPIRE RETIREMENT ADVISORY
March 9, 2009 - April 15, 2013
FINANCIAL TELESIS INC
March 9, 2009 - September 2, 2014
FINANCIAL TELESIS INC
September 17, 2008 - February 20, 2009
CAPSOUTH WEALTH MANAGEMENT
September 29, 2006 - December 31, 2006
NBC SECURITIES, INC.
January 13, 2006 - February 27, 2009
NBC SECURITIES, INC.
Primary Firm SEC Registration
PORTFOLIO MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
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
PORTFOLIO MEDICS, LLC
CRD#: 145958 / SEC#: 801-113846
Contact information
SEC notice filing (41 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,702 |
| AUM (Assets Under Management) | $ 552,733,331 |
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.
