SG
Stephen M. Gaarder
ORBIS INVESTMENTS (U.S.)
San Francisco, CA 94129-1492
Some features on this profile are disabled
CRD#: 6431039
SG
Professional summary
Stephen M Gaarder, who also goes by Stephen Matthew Gaarder, Stephen M Gaarder-wang, is a registered financial professional currently at ORBIS INVESTMENTS (U.S.), LLC located in San Francisco, California.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2015. Stephen has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Matthew Gaarder | Stephen M Gaarder-Wang
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen M Gaarder's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 19, 2015 - Present
ORBIS INVESTMENTS (U.S.), LLC
Office #1: One Letterman Drive Building C, Suite Cm-100, San Francisco, CA 94129-1492BD
CRD#: 172663
San Francisco, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/27/2015)
RR
Alaska(3/27/2015)
RR
Arizona(3/27/2015)
RR
Arkansas(3/27/2015)
RR
California(3/27/2015)
RR
Colorado(3/27/2015)
RR
Connecticut(4/9/2015)
RR
Delaware(3/27/2015)
RR
District of Columbia(3/27/2015)
RR
Florida(3/31/2015)
RR
Georgia(3/27/2015)
RR
Hawaii(3/27/2015)
RR
Idaho(3/27/2015)
RR
Illinois(3/27/2015)
RR
Indiana(3/27/2015)
RR
Iowa(3/27/2015)
RR
Kansas(3/27/2015)
RR
Kentucky(3/27/2015)
RR
Louisiana(3/27/2015)
RR
Maine(3/27/2015)
RR
Maryland(3/27/2015)
RR
Massachusetts(3/27/2015)
RR
Michigan(3/27/2015)
RR
Minnesota(3/27/2015)
RR
Mississippi(3/27/2015)
RR
Missouri(3/27/2015)
RR
Montana(3/27/2015)
RR
Nebraska(3/27/2015)
RR
Nevada(6/5/2015)
RR
New Hampshire(4/22/2015)
RR
New Jersey(3/27/2015)
RR
New Mexico(3/27/2015)
RR
New York(3/27/2015)
RR
North Carolina(3/27/2015)
RR
North Dakota(3/27/2015)
RR
Ohio(3/27/2015)
RR
Oklahoma(3/27/2015)
RR
Oregon(3/27/2015)
RR
Pennsylvania(3/27/2015)
RR
Puerto Rico(7/1/2015)
RR
Rhode Island(3/27/2015)
RR
South Carolina(3/27/2015)
RR
South Dakota(3/27/2015)
RR
Tennessee(4/22/2015)
RR
Texas(3/27/2015)
RR
Utah(3/27/2015)
RR
Vermont(4/22/2015)
RR
Virgin Islands(3/27/2015)
RR
Virginia(3/27/2015)
RR
Washington(3/27/2015)
RR
West Virginia(4/22/2015)
RR
Wisconsin(3/27/2015)
RR
Wyoming(3/27/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
ORBIS INVESTMENTS (U.S.), LLC
ORBIS INVESTMENTS (U.S.), LLC
CRD#: 172663 / SEC#: , 8-69517
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(414) 710-3031
Established
Delaware since 05/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
