Stephen W. Bartley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen Willis Bartley was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2010. Stephen had worked at 5 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2016 - December 31, 2016
THE LEADERS GROUP, INC.
June 21, 2016 - August 8, 2016
SCF SECURITIES, INC.
July 30, 2015 - October 19, 2015
MML INVESTORS SERVICES, LLC
December 14, 2010 - April 16, 2014
NYLIFE SECURITIES LLC
September 29, 2010 - October 1, 2010
STATE FARM VP MANAGEMENT CORP.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
