Steven J. Hargrove
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.
Steven James Hargrove was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2015. Steven had worked at 4 firms and has passed the Series 66, Series 7TO, 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
January 5, 2021 - October 31, 2022
FIRST HEARTLAND CAPITAL, INC.
December 22, 2020 - October 31, 2022
FIRST HEARTLAND CONSULTANTS, INC.
June 12, 2015 - December 31, 2018
TLG ADVISORS, INC.
May 28, 2015 - December 31, 2018
THE LEADERS GROUP, INC.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
FIRST HEARTLAND CAPITAL, INC.
CRD#: 32460 / SEC#: , 8-46008
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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