Scott M. Stephan
Professional summary
Scott M Stephan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Scott is a previously registered financial advisor and started their career in finance in 2009. Prior to being barred, Scott had worked at 1 firm, which includes WALL STREET FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2009 - March 10, 2011
WALL STREET FINANCIAL GROUP, INC.
August 10, 2009 - March 10, 2011
WALL STREET FINANCIAL GROUP, 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
WALL STREET FINANCIAL GROUP, INC.
CRD#: 35830 / SEC#: 801-58292, 8-46964
Contact information
Disclosures
| Regulatory Event | 2 |
| 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.
