Stephen G. Davos

PIMCO INVESTMENTS LLC

Miami, FL 33131

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CRD#: 4972228

Professional summary

Stephen Gregory Davos is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Miami, Florida.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Gregory Davos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 13, 2025 - Present

PIMCO INVESTMENTS LLC

Office #1: 600 Brickell Avenue 21st Floor, Miami, FL 33131

CRD#: 154957

Miami, FL

Past

November 8, 2018 - May 6, 2025

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

Zionsville, IN

Past

December 22, 2017 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

CARMEL, IN

Past

April 11, 2012 - December 31, 2012

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

July 9, 2007 - May 6, 2025

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

August 10, 2006 - June 27, 2007

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/13/2025)

Colorado
(5/13/2025)

Florida
(5/13/2025)

Illinois
(5/13/2025)

Indiana
(5/13/2025)

Kentucky
(5/13/2025)

Michigan
(5/13/2025)

New York
(5/13/2025)

Ohio
(5/14/2025)

Texas
(5/13/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/11/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/29/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/9/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PIMCO INVESTMENTS LLC

CRD#: 154957 / SEC#: , 8-68686

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1633 Broadway 45th Floor, New York, NY 10019

Mailing Address

1633 Broadway 45th Floor, New York, NY 10019

Phone number

(212) 739-3000

Established

Delaware since 07/07/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC	SOLE MEMBER	104559
BENTLEY, JAMES DANIEL	MANAGER, BOARD OF MANAGERS	5138093
BURG, ANTHONY ALAN	TREASURER	6005184
DUBITZKY, YITZHAK ZVI	CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER	6897287
FERRARI, DAVID RICHARD	PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL	6004690
HALL, GREGORY WESTON	PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS	3111343
OGLESBY, SARAH JANE	SECRETARY	7676855
PITTERS, CALEB JOSEPH ALEXANDER JR	MANAGER, BOARD OF MANAGERS	3198603
SUTHERLAND, ERIC MICHAEL	PRESIDENT & MANAGER, BOARD OF MANAGERS	1724744
THOMAS, MARK GARETH	HEAD OF BUSINESS MANAGEMENT	2923871
TRACY, LAUREN RITA	MANAGER, BOARD OF MANAGERS	4027974
WHITTAKER, MEGAN HAYES	AML COMPLIANCE OFFICER	6442805

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.

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Stephen G. Davos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Gregory Davos's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

EATON VANCE DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/11/2017

Series 63

Date: 8/29/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/8/2010

Series 6

Date: 8/9/2006

FINRA

Current Firm

PIMCO INVESTMENTS LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PIMCO INVESTMENTS LLC

TRUST BUT VERIFY

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