Steven R. Derosier
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.
Steven Roger Derosier was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2004. Steven had worked at 4 firms and has passed the Series 65, Series 66 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 5, 2007 - April 9, 2012
USAA FINANCIAL PLANNING SERVICES
March 7, 2007 - April 9, 2012
USAA FINANCIAL ADVISORS, INC.
September 24, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
September 24, 2004 - February 21, 2007
AMERIPRISE FINANCIAL SERVICES, 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
USAA FINANCIAL PLANNING SERVICES
CRD#: 106352 / SEC#: 801-53347
Contact information
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.
