Stephen A. Blum
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 Allan Blum, who also goes by Stephen Allen Blum, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1973. Stephen had worked at 7 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2002 - June 24, 2003
TEJAS SECURITIES GROUP, INC.
November 16, 1989 - September 25, 2002
DONALD & CO. SECURITIES INC.
September 26, 1989 - November 28, 1989
WILLIAM ALLEN & COMPANY INCORPORATED
March 25, 1987 - September 21, 1989
BLUESTONE CAPITAL CORP.
November 10, 1978 - January 16, 1987
DEUTSCHE IXE, LLC
July 22, 1975 - November 20, 1978
ROBERTSON SECURITIES CORPORATION
October 19, 1973 - March 8, 1974
R. L. WHITNEY SECURITIES, INC.
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
Series 1
Date: 4/10/1964
Registered Representative ExaminationSeries 40
Date: 1/15/1973
Registered Principal ExaminationCurrent Firm
TEJAS SECURITIES GROUP, INC.
CRD#: 36705 / SEC#: , 8-47433
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
Red Flags
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