Stephen J. Livens
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 Joel Livens was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2006. Stephen had worked at 4 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
March 6, 2017 - August 22, 2018
CORECAP INVESTMENTS, LLC
July 2, 2012 - August 26, 2015
FIRST ALLIED ADVISORY SERVICES, INC.
June 20, 2011 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
June 20, 2011 - August 20, 2015
FIRST ALLIED SECURITIES, INC.
October 9, 2006 - July 21, 2009
LPL FINANCIAL LLC
September 26, 2006 - July 21, 2009
LPL FINANCIAL 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
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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