Stephen Jay Wain
Professional Summary
Stephen Jay Wain, who also goes by Stephen J Wain, is a registered financial advisor currently at REALTA EQUITIES, INC. located in Orlando, Florida. Stephen is registered as a RR (Registered Representative) and started their career in finance in 2012. Stephen has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 62 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen J Wain
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
COASTAL EQUITIES, INC. | THE FALMOUTH FINANCIAL GROUP | REALTA WEALTH | REALTA EQUITIES, INC.
Contact Information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801Mailing Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801Phone Number
(888) 657-5200Established
Massachusetts since 01/24/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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
(10/4/2022)
(10/17/2022)
(1/6/2021)
(4/13/2023)
(1/6/2021)
(6/10/2022)
(4/13/2023)
(1/6/2021)
(8/6/2024)
(4/13/2023)
(8/28/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2021About the Series 79TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Apr 2012SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Jay Wain's CRS (Customer Relationship Summary).
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