Stephen P. Hess
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 Patrick Hess, who also goes by Stephen Hess, Stephen P Hess, Stephen Patrick Hess, Steve Hess, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2015. Stephen had worked at 11 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
May 29, 2024 - March 5, 2025
J.P. MORGAN SECURITIES LLC
May 28, 2024 - March 5, 2025
J.P. MORGAN SECURITIES LLC
September 8, 2023 - November 21, 2023
PRUCO SECURITIES, LLC.
September 7, 2023 - November 21, 2023
PRUCO SECURITIES, LLC.
October 8, 2021 - August 16, 2023
WELLS FARGO CLEARING SERVICES, LLC
October 8, 2021 - August 16, 2023
WELLS FARGO CLEARING SERVICES, LLC
January 25, 2021 - June 1, 2021
PARK AVENUE SECURITIES LLC
January 8, 2021 - June 1, 2021
PARK AVENUE SECURITIES LLC
March 25, 2020 - October 14, 2020
BROOKSTONE CAPITAL MANAGEMENT LLC
July 9, 2019 - October 8, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
July 8, 2019 - October 8, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
September 28, 2018 - January 11, 2019
EQUITABLE ADVISORS, LLC
September 28, 2018 - January 11, 2019
EQUITABLE ADVISORS, LLC
April 16, 2018 - September 14, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
April 16, 2018 - September 14, 2018
ALLSTATE FINANCIAL SERVICES, LLC
August 1, 2016 - January 10, 2018
MORGAN STANLEY
July 29, 2016 - January 10, 2018
MORGAN STANLEY
August 5, 2015 - December 14, 2015
EDWARD JONES
July 23, 2015 - December 14, 2015
EDWARD JONES
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
