Stephen R. Anders
Professional summary
Stephen R Anders was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial advisor and started their career in finance in 2010. Prior to being barred, Stephen had worked at 7 firms, which includes CAPITAL ONE ADVISORS LLC, CAPITAL ONE INVESTING LLC, CAPITAL ONE FINANCIAL ADVISORS LLC, CAPITAL ONE INVESTMENT SERVICES LLC, BB&T INVESTMENT SERVICES INC., MORGAN STANLEY, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
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Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - December 31, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - October 7, 2015
CAPITAL ONE INVESTING, LLC
October 14, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
October 14, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
July 17, 2013 - October 8, 2014
BB&T INVESTMENT SERVICES, INC.
July 16, 2013 - October 8, 2014
BB&T INVESTMENT SERVICES, INC.
September 6, 2012 - August 5, 2013
MORGAN STANLEY
September 5, 2012 - August 5, 2013
MORGAN STANLEY
May 12, 2010 - September 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 2010 - September 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
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