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Reginald N. Stevens

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CRD#: 6406496
RS

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.

Reginald Najohn Stevens, who also goes by Reggie Stevens, was a registered financial professional .

Reginald is a previously registered financial professional and started their career in finance in 2015. Reginald had worked at 1 firm and has passed the SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Reggie Stevens

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 4, 2015 - May 8, 2015

PRAIRIE CAPITAL MARKETS, LLC

BD
CRD#: 158309
OAKBROOK TERRACE, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 5/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/4/2015
Investment Banking Registered Representative Examination

Current Firm

PC
PRAIRIE CAPITAL MARKETS, LLC
PRAIRIE | PRAIRIE CAPITAL MARKETS, LLC

CRD#: 158309 / SEC#: , 8-68889

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Lincoln Centre 18w140 Butterfield Road Suite 800, Oakbrook Terrace, IL, 60181
Mailing Address
One Lincoln Centre 18w140 Butterfield Road Suite 800, Oakbrook Terrace, IL, 60181
Phone number
(630) 443-9933
Established
Illinois since 07/01/2010
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PRAIRIE CAPITAL HOLDINGS, INC.MEMBER
BEATON, DANIEL STEWARTCFO, FINOP4240769
WITT, TIMOTHY WYNDHAMCCO, HOME OFFICE SUPER., AML SUPER5952315

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.

Company Information

PRAIRIE CAPITAL MARKETS, LLC

CRD#: 158309

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