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Steven M. Sexton
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CRD#: 5714288
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Professional summary
Steven Michael Sexton was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 2014. Prior to being barred, Steven had worked at 1 firm, which includes RETIREMENTADVICE | JKA.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steven Sexton
Other business activities
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 30, 2014 - August 31, 2017
RETIREMENTADVICE | JKA
RIA
CRD#: 153803
Temecula, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
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RETIREMENTADVICE | JKA
DC CAPITAL MANAGEMENT | RETIREMENTADVICE | JKA | JACK KEETER & ASSOCIATES, INC. | DURSO CAPITAL MANAGEMENT
CRD#: 153803 / SEC#: 801-80313
RIA
Registered Investment Advisory firm - (9/18/2014 Approved)California
Registered Investment Advisory firm - (10/22/2014 Terminated)Indiana
Registered Investment Advisory firm - (9/22/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/13/2015 Terminated)New Mexico
Registered Investment Advisory firm - (9/22/2014 Terminated)North Carolina
Registered Investment Advisory firm - (9/22/2014 Terminated)South Carolina
Registered Investment Advisory firm - (9/22/2014 Terminated)Texas
Registered Investment Advisory firm - (9/22/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
Current Firm
R|
RETIREMENTADVICE | JKA
DC CAPITAL MANAGEMENT | RETIREMENTADVICE | JKA | JACK KEETER & ASSOCIATES, INC. | DURSO CAPITAL MANAGEMENT
CRD#: 153803 / SEC#: 801-80313
RIA
Registered Investment Advisory firm - (9/18/2014 Approved)California
Registered Investment Advisory firm - (10/22/2014 Terminated)Indiana
Registered Investment Advisory firm - (9/22/2014 Terminated)Michigan
Registered Investment Advisory firm - (3/13/2015 Terminated)New Mexico
Registered Investment Advisory firm - (9/22/2014 Terminated)North Carolina
Registered Investment Advisory firm - (9/22/2014 Terminated)South Carolina
Registered Investment Advisory firm - (9/22/2014 Terminated)Texas
Registered Investment Advisory firm - (9/22/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1251 N. Manassero St. Suite #405a, Anaheim, CA 92807
Mailing Address
Phone number
(714) 779-9200
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 942 |
| AUM (Assets Under Management) | $ 239,505,676 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
