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Stephen R Anders

CRD# 5776082·Registered 2010 - 2015
Barred: Stephen R Anders was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Stephen R Anders, who also goes by Steve Anders, was a registered financial advisor. Stephen was a previously registered financial advisor and started their career in finance 2010 - 2015. Stephen had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Steve Anders

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

16 years in the financial services industry

Current & Past Employments

CAPITAL ONE ADVISORS, LLC·CRD# 136865
RIA
Seattle, WA
January 28, 2015 - December 31, 2015
CAPITAL ONE INVESTING, LLC·CRD# 45744
BD
Potomac, MD
January 2, 2015 - October 7, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC·CRD# 127236
RIA
Fredrick, MD
October 14, 2014 - January 28, 2015
CAPITAL ONE INVESTMENT SERVICES LLC·CRD# 25658
BD
Potomac, MD
October 14, 2014 - January 2, 2015
BB&T INVESTMENT SERVICES, INC.·CRD# 33856
RIA
Silver Spring, MD
July 17, 2013 - October 8, 2014
BB&T INVESTMENT SERVICES, INC.·CRD# 33856
BD
Silver Spring, MD
July 16, 2013 - October 8, 2014
MORGAN STANLEY·CRD# 149777
RIA
Rockville, MD
September 6, 2012 - August 5, 2013
MORGAN STANLEY·CRD# 149777
BD
Rockville, MD
September 5, 2012 - August 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Washington, DC
May 12, 2010 - September 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Washington, DC
May 12, 2010 - September 6, 2012

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Current Firm

CO
CAPITAL ONE ADVISORS, LLC

CAPITAL ONE ADVISORS, LLC | SPARK 401K | SHAREBUILDER ADVISORS, LLC | SHAREBUILDER 401K

CRD#: 136865 / SEC#: 801-64662

Contact Information

Main Address

1750 Tysons Blvd 6th Floor, Mclean, VA 22102

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL ONE INVESTING 401K SERVICES BROCHURE 4.01.19 (3/29/2019)

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Apr 2010About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 2010About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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