Stephen N. Conrad
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 Nelson Conrad was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1973. Stephen had worked at 15 firms and has passed the Series 63, SIE, PC, Series 5, Series 000, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2017 - April 22, 2020
WOOD (ARTHUR W.) COMPANY, INC.
July 12, 2007 - December 31, 2016
WINSLOW, EVANS & CROCKER, INC.
January 2, 2002 - July 30, 2007
OPPENHEIMER & CO. INC.
October 3, 1991 - January 2, 2002
JOSEPHTHAL & CO., INC.
May 29, 1990 - October 17, 1991
JJC SECURITIES CO., INC.
July 3, 1989 - May 29, 1990
JSC SECURITIES, INC.
November 30, 1988 - May 19, 1989
FINANCIAL SQUARE PARTNERS
April 8, 1988 - November 29, 1988
LEGG MASON WOOD WALKER, INCORPORATED
June 25, 1986 - March 15, 1988
MOSELEY SECURITIES CORPORATION
September 30, 1985 - June 24, 1986
PRESCOTT, BALL & TURBEN, INC.
March 15, 1983 - October 14, 1985
MORGAN STANLEY DW INC.
September 26, 1981 - March 8, 1983
CITIGROUP GLOBAL MARKETS INC.
September 26, 1978 - July 21, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 24, 1973 - February 27, 1975
E. F. HUTTON & COMPANY 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
PC
Date: 9/26/1986
AMEX Put and Call ExamSeries 5
Date: 10/19/1981
Interest Rate Options ExaminationSeries 000
Date: 4/17/1973
General Securities Principal ExaminationSeries 1
Date: 4/17/1973
Registered Representative ExaminationSeries 8
Date: 12/10/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
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.
