Allison R. Stephens
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.
Allison Royal Stephens, who also goes by Allison R Stephens, Allison Royal Stephens, Allison Stephens, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2007. Allison had worked at 3 firms and has passed the Series 63, 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
January 29, 2019 - August 16, 2023
J.W. COLE FINANCIAL, INC.
November 4, 2016 - February 17, 2017
FINANCIAL WEST GROUP
August 11, 2011 - September 10, 2014
UNITED CAPITAL MARKETS, INC.
December 21, 2007 - September 2, 2009
UNITED CAPITAL MARKETS, INC.
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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
