Stephen A. Brockman
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 Andrew Brockman was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2013. Stephen had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2019 - November 4, 2019
FULCRUM WEALTH MANAGEMENT
June 18, 2018 - March 20, 2019
SECURITIES AMERICA ADVISORS, INC.
June 18, 2018 - March 20, 2019
SECURITIES AMERICA, INC.
June 3, 2013 - June 19, 2018
EDWARD JONES
March 21, 2013 - June 19, 2018
EDWARD JONES
Primary Firm SEC Registration
FULCRUM WEALTH MANAGEMENT
CRD#: 159099 / SEC#: 801-79524
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
FULCRUM WEALTH MANAGEMENT
CRD#: 159099 / SEC#: 801-79524
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 800 |
| AUM (Assets Under Management) | $ 189,975,946 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
