Stephen C. Mambuca
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 Carmen Mambuca JR., who also goes by Stephen Carmen Mambuca, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2011. Stephen had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2023 - November 5, 2024
CROSSMARK GLOBAL INVESTMENTS, INC.
September 28, 2021 - November 5, 2024
CROSSMARK DISTRIBUTORS, INC.
July 1, 2014 - April 28, 2021
COREBRIDGE CAPITAL SERVICES, INC.
October 18, 2011 - May 5, 2014
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
Primary Firm SEC Registration
CROSSMARK GLOBAL INVESTMENTS, INC.
CRD#: 113360 / SEC#: 801-17695
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
CROSSMARK GLOBAL INVESTMENTS, INC.
CRD#: 113360 / SEC#: 801-17695
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,314 |
| AUM (Assets Under Management) | $ 7,093,712,521 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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