SP
Stephen A. Poley
FEF DISTRIBUTORS
New York, NY 10105
Some features on this profile are disabled
CRD#: 5749433
SP
Professional summary
Stephen Aaron Poley, who also goes by Stephen Poley, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2010. Stephen has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Poley
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) - BD
Click below to view Stephen Aaron Poley's CRS (Customer Relationship Summary).
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
Current
April 11, 2013 - Present
FEF DISTRIBUTORS, LLC
Office #1: 1345 Avenue Of The Americas, New York, NY 10105Office #2: 1345 Avenue Of The Americas, New York, NY 10105-4800BD
CRD#: 46585
New York, NY
Past
December 13, 2011 - April 4, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
February 15, 2010 - December 1, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/11/2013)
RR
Alaska(4/11/2013)
RR
Arizona(4/11/2013)
RR
Arkansas(4/11/2013)
RR
California(4/11/2013)
RR
Colorado(4/11/2013)
RR
Connecticut(4/11/2013)
RR
Delaware(4/11/2013)
RR
District of Columbia(4/11/2013)
RR
Florida(4/11/2013)
RR
Georgia(4/11/2013)
RR
Hawaii(4/11/2013)
RR
Idaho(4/11/2013)
RR
Illinois(4/11/2013)
RR
Indiana(4/11/2013)
RR
Iowa(4/11/2013)
RR
Kansas(4/11/2013)
RR
Kentucky(4/11/2013)
RR
Louisiana(4/11/2013)
RR
Maine(4/11/2013)
RR
Maryland(4/11/2013)
RR
Massachusetts(4/11/2013)
RR
Michigan(4/11/2013)
RR
Minnesota(4/11/2013)
RR
Mississippi(4/11/2013)
RR
Missouri(4/11/2013)
RR
Montana(4/11/2013)
RR
Nebraska(4/11/2013)
RR
Nevada(4/11/2013)
RR
New Hampshire(4/11/2013)
RR
New Jersey(4/11/2013)
RR
New Mexico(4/11/2013)
RR
New York(5/11/2022)
RR
North Carolina(4/11/2013)
RR
North Dakota(4/11/2013)
RR
Ohio(4/11/2013)
RR
Oklahoma(4/11/2013)
RR
Oregon(4/11/2013)
RR
Pennsylvania(4/11/2013)
RR
Puerto Rico(4/11/2013)
RR
Rhode Island(4/11/2013)
RR
South Carolina(4/11/2013)
RR
South Dakota(4/11/2013)
RR
Tennessee(4/11/2013)
RR
Texas(4/11/2013)
RR
Utah(4/11/2013)
RR
Vermont(4/11/2013)
RR
Virginia(4/11/2013)
RR
Washington(4/11/2013)
RR
West Virginia(4/11/2013)
RR
Wisconsin(4/11/2013)
RR
Wyoming(4/11/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FEF DISTRIBUTORS, LLC
ASB SECURITIES, INC. | FEF DISTRIBUTORS, LLC | ASB SECURITIES, LLC
CRD#: 46585 / SEC#: , 8-51483
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105-4800
Phone number
(212) 698-3300
Established
Delaware since 01/27/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 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.
