Timothy C. Stepan
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.
Timothy Charles Stepan, who also goes by Timothy Stepan, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2004. Timothy had worked at 8 firms and has passed the Series 66, SIE, Series 31 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
November 3, 2011 - August 2, 2016
DISCERN SECURITIES, INC.
September 13, 2006 - July 1, 2010
SOLEIL SECURITIES CORPORATION
May 2, 2006 - August 24, 2006
AGC PARTNERS
July 1, 2005 - March 29, 2006
PRUDENTIAL EQUITY GROUP, LLC
April 15, 2005 - July 8, 2005
MANULIFE INVESTMENT MANAGEMENT (US) LLC
April 15, 2005 - July 8, 2005
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
April 11, 2005 - June 15, 2005
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 3, 2004 - April 5, 2005
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
DISCERN SECURITIES, INC.
CRD#: 155854 / SEC#: , 8-68748
Contact information
Documents
Red Flags
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