Stephen M. Mcintosh
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 Michael Mcintosh was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1973. Stephen had worked at 4 firms and has passed the Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 1975 - September 28, 1988
SECURITIES TRANSACTIONS, INCORPORATED
January 7, 1975 - June 30, 1975
VAN HORNE INVESTMENTS, INC.
June 11, 1973 - September 15, 1973
FIRST MID AMERICA CORPORATION
June 11, 1973 - January 16, 1975
FIRST MID-AMERICA 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: 6/6/1973
Registered Representative ExaminationF04
Date: 9/18/1975
Financial Principal ExaminationSeries 00
Date: 7/16/1975
General Securities Principal ExaminationCurrent Firm
SECURITIES TRANSACTIONS, INCORPORATED
CRD#: 6952 / SEC#: , 8-18410
Contact information
Documents
Red Flags
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