Steven D. Prescott
Professional summary
Steven De Baron Prescott, CFP®, who also goes by Steven B Prescott, Steven Prescott, was a registered financial advisor .
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Steven had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
May 28, 2026 - Present
Office #1: 7636 Marker Rd, San Diego, CA 92130
April 3, 2019 - July 16, 2019
COLORADO FINANCIAL SERVICE CORPORATION
July 5, 2018 - August 13, 2018
TRILOMA SECURITIES, LLC
June 10, 2016 - July 20, 2016
FIRST ALLIED SECURITIES, INC.
July 11, 2011 - June 13, 2016
WELLS FARGO CLEARING SERVICES, LLC
July 11, 2011 - June 13, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 18, 2008 - May 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 2008 - May 17, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/28/2026)
Exams
Current firm
No current employment
Red Flags
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