Stephen S. Degnan
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 Sean Degnan was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2004. Stephen had worked at 5 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
June 4, 2019 - September 16, 2019
THE LEADERS GROUP, INC.
June 24, 2015 - June 19, 2017
NUVEEN ASSET MANAGEMENT, LLC
June 24, 2015 - June 19, 2017
NUVEEN SECURITIES, LLC
September 30, 2011 - March 3, 2014
FIRST TRUST ADVISORS LP
October 28, 2004 - March 3, 2014
FIRST TRUST PORTFOLIOS L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
