Stephen J. Sexton

Some features on this profile are disabled

CRD#: 5244629

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 John Sexton was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2006. Stephen had worked at 5 firms and has passed the Series 63, Series 87, Series 55 and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 28, 2014 - November 6, 2015

TRADEWINDS CAPITAL MANAGEMENT, LLC

RIA

CRD#: 145934

BELLINGHAM, WA

Past

March 15, 2010 - April 6, 2010

MADISON PROPRIETARY TRADING GROUP, LLC

CRD#: 139818

NEW YORK, NY

Past

January 28, 2008 - October 6, 2008

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

April 4, 2007 - December 14, 2007

SETON SECURITIES GROUP, INC.

CRD#: 18044

NEW YORK, NY

Past

November 14, 2006 - January 11, 2007

SANDERS MORRIS LLC

CRD#: 20580

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRADEWINDS CAPITAL MANAGEMENT, LLC

CRD#: 145934 / SEC#: 801-68789

RIA

Registered Investment Advisory firm - (2/6/2008 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/20/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 87

Date: 3/20/2008

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 12/5/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/13/2006

General Securities Representative Examination

Current Firm

TRADEWINDS CAPITAL MANAGEMENT, LLC

CRD#: 145934 / SEC#: 801-68789

RIA

Registered Investment Advisory firm - (2/6/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2211 Rimland Drive Suite 401, Bellingham, WA 98226

Mailing Address

Phone number

(360) 715-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (11/7/2025)

Regulatory assets under management

Total Number of Accounts	2,652
AUM (Assets Under Management)	$ 602,785,057

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen J. Sexton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MADISON PROPRIETARY TRADING GROUP, LLC

HAPOALIM SECURITIES USA, INC.

SETON SECURITIES GROUP, INC.

SANDERS MORRIS LLC

Primary Firm SEC Registration

TRADEWINDS CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/20/2006

Series 87

Date: 3/20/2008

Series 55

Date: 12/5/2006

Series 7

Date: 11/13/2006

Current Firm

TRADEWINDS CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRADEWINDS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors