Stephen J. Wain
Professional summary
Stephen Jay Wain, who also goes by Stephen J Wain, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Jay Wain's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2021 - Present
REALTA EQUITIES, INC.
Office #1: 1507 S Haiwassee Road Ste 212, Orlando, FL 32835April 17, 2012 - May 1, 2019
RELIANCE WORLDWIDE INVESTMENTS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 79TO
Date: 1/6/2021
Investment Banking Registered Representative ExaminationSeries 62
Date: 4/16/2012
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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Company Information
REALTA EQUITIES, INC.
CRD#: 23769Orlando, FL 32835TRUST BUT VERIFY
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