Stephen Nelson Conrad
Professional Summary
Stephen Nelson Conrad was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1973 - 2020. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
53 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
ARTHUR W. WOOD COMPANY | WOOD (ARTHUR W.) COMPANY, INC. | THE NEW ENGLAND COMPANY | ARTHUR WOOD INVESTMENT ADVISORS | ARTHUR W. WOOD COMPANY, INC.
Contact Information
Established
Massachusetts since 09/01/1899Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Sep 1986Series 5 — Interest Rate Options Examination
Passed Oct 1981Series 000 — General Securities Principal Examination
Passed Apr 1973Series 1 — Registered Representative Examination
Passed Apr 1973Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Dec 1993Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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