AS
Austin P. Stephen
QUASAR DISTRIBUTORS
Stamford, CT 06901
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CRD#: 5213482
AS
Professional summary
Austin Patrick Stephen is a registered financial professional currently at QUASAR DISTRIBUTORS, LLC located in Stamford, Connecticut.
Austin is registered as a RR (Registered Representative) and started their career in finance in 2007. Austin has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Austin Patrick Stephen's 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®
NoneExperience
Current
August 28, 2024 - Present
QUASAR DISTRIBUTORS, LLC
Office #1: 600 Washington Blvd, Stamford, CT 06901BD
CRD#: 103848
Stamford, CT
Past
September 22, 2008 - July 16, 2009
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
October 25, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(9/4/2024)
RR
Alaska(9/4/2024)
RR
Arizona(9/4/2024)
RR
Arkansas(9/4/2024)
RR
California(9/4/2024)
RR
Colorado(9/4/2024)
RR
Connecticut(9/4/2024)
RR
Delaware(9/4/2024)
RR
Florida(9/4/2024)
RR
Georgia(9/4/2024)
RR
Hawaii(9/4/2024)
RR
Idaho(9/4/2024)
RR
Illinois(9/4/2024)
RR
Indiana(9/4/2024)
RR
Iowa(9/4/2024)
RR
Kansas(9/4/2024)
RR
Kentucky(9/4/2024)
RR
Louisiana(9/4/2024)
RR
Maine(9/4/2024)
RR
Maryland(9/4/2024)
RR
Massachusetts(9/4/2024)
RR
Michigan(9/4/2024)
RR
Minnesota(9/4/2024)
RR
Mississippi(9/4/2024)
RR
Missouri(9/4/2024)
RR
Montana(9/4/2024)
RR
Nebraska(9/4/2024)
RR
Nevada(9/4/2024)
RR
New Hampshire(9/4/2024)
RR
New Jersey(9/4/2024)
RR
New Mexico(9/4/2024)
RR
New York(9/4/2024)
RR
North Carolina(9/4/2024)
RR
North Dakota(9/4/2024)
RR
Ohio(9/4/2024)
RR
Oklahoma(9/4/2024)
RR
Oregon(9/4/2024)
RR
Pennsylvania(9/4/2024)
RR
Puerto Rico(9/4/2024)
RR
Rhode Island(10/16/2024)
RR
South Carolina(9/4/2024)
RR
South Dakota(9/4/2024)
RR
Tennessee(9/4/2024)
RR
Texas(9/4/2024)
RR
Utah(9/4/2024)
RR
Vermont(9/4/2024)
RR
Virginia(9/4/2024)
RR
Washington(9/4/2024)
RR
West Virginia(9/4/2024)
RR
Wisconsin(9/4/2024)
RR
Wyoming(9/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/28/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
QD
QUASAR DISTRIBUTORS, LLC
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/21/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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