Stephen R. Fischer
Professional summary
Stephen Ryan Fischer, who also goes by S. Ryan Fischer, Ryan Fischer, is a registered financial professional currently at SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2010. Stephen has worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Ryan Fischer's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 29, 2024 - Present
SEI INVESTMENTS DISTRIBUTION CO.
Office #1: One Freedom Valley Drive, Oaks, PA 19456June 29, 2023 - February 12, 2024
BAKER TILLY CAPITAL, LLC
June 15, 2020 - February 8, 2021
ORCHARD SECURITIES, LLC
January 17, 2019 - June 9, 2020
WEALTHFORGE SECURITIES, LLC
February 16, 2018 - March 5, 2018
EQIS SECURITIES, LLC
November 20, 2017 - March 5, 2018
FREEDOM INVESTMENT MANAGEMENT, INC.
November 19, 2014 - April 4, 2016
ARQUE CAPITAL, LTD.
July 18, 2014 - October 27, 2014
STRATCAP SECURITIES, LLC
May 21, 2013 - June 23, 2014
ARQUE CAPITAL, LTD.
June 22, 2011 - December 17, 2012
AEI SECURITIES, INC.
November 22, 2010 - May 5, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
September 27, 2010 - May 5, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
May 5, 2010 - September 14, 2010
PRINCIPAL SECURITIES, 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
(10/29/2024)
(10/30/2024)
Exams
Series 7TO
Date: 6/2/2023
General Securities Representative ExaminationFINRA
Current Firm
SEI INVESTMENTS DISTRIBUTION CO.
CRD#: 10690 / SEC#: , 8-27897
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEI INVESTMENTS COMPANY | SHAREHOLDER | |
| CAMPISI, JENNIFER HICKMAN | CHIEF COMPLIANCE OFFICER, ASST SECRETARY | 5299753 |
| COARY, JOHN PATRICK | TREASURER, CFO | 2551648 |
| CROWE, KEVIN FRANCIS | DIRECTOR | 2109967 |
| DORAN, WILLIAM M | DIRECTOR | 1476724 |
| KLAUDER, PAUL FRANCIS | DIRECTOR, PRESIDENT, CEO | 2474240 |
| MCGHIN, JASON MICHAEL | COO | 3119188 |
| MUNCH, JOHN CHARLES | SECRETARY, GENERAL COUNSEL | 4739576 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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