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SA

Stephen W. Arnold

LAZEAR CAPITAL SECURITIES
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 5903210
SA

Professional summary

Stephen Wells Arnold is a registered financial professional currently at LAZEAR CAPITAL SECURITIES, LLC located in Columbus, Ohio.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2011. Stephen has worked at 4 firms and has passed the Series 65, Series 63, Series 79TO, Series 31, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Wells Arnold'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®
None

Experience

Current

December 1, 2022 - Present

LAZEAR CAPITAL SECURITIES, LLC

Office #1: 401 N. Front Street Suite 250, Columbus, OH 43215
BD
CRD#: 298578
Columbus, OH
Past

January 24, 2019 - November 2, 2022

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
Cleveland, OH
Past

January 24, 2019 - November 2, 2022

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
CLEVELAND, OH
Past

December 26, 2013 - September 18, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
Columbus, OH
Past

August 29, 2011 - September 18, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Columbus, OH

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
Ohio
(12/1/2022)
RR
West Virginia
(2/22/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/20/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/15/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/31/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 2/11/2019
Futures Managed Funds Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/26/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LAZEAR CAPITAL SECURITIES, LLC
LAZEAR CAPITAL SECURITIES, LLC

CRD#: 298578 / SEC#: , 8-70203

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
401 N. Front Street Suite 250, Columbus, OH 43215
Mailing Address
401 N. Front Street Suite 250, Columbus, OH 43215
Phone number
(614) 832-8410
Established
Ohio since 07/17/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BCL HOLDING CORPORATIONOWNER
MRM HOLDINGS, INC.OWNER
SANDOVER CAPITAL, LTD.OWNER
BEATON, DANIEL STEWARTFINOP, PFO, POO4240769
GRIFFITH, ANN MARGARETCHIEF COMPLIANCE OFFICER AND DESIGNATED PRINCIPAL2936554
PAZARENTZOS, DEMETRIOS ELIASCEO AND DESIGNATED PRINCIPAL7582856

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.

Company Information

LAZEAR CAPITAL SECURITIES, LLC

CRD#: 298578Columbus, OH 43215

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