SS
Stephen W. Sikes
OPEN TO THE PUBLIC INVESTING
New York, NY 10013
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CRD#: 6912545
SS
Professional summary
Stephen William Sikes, who also goes by Stephen Sikes, is a registered financial professional currently at OPEN TO THE PUBLIC INVESTING, INC. located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2018. Stephen has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Sikes
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 William Sikes'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
November 3, 2020 - Present
OPEN TO THE PUBLIC INVESTING, INC.
Office #1: 6 Harrison St 5th Floor/suite, New York, NY 10013BD
CRD#: 127818
New York, NY
Past
July 18, 2018 - November 2, 2020
SOFI WEALTH LLC
RIA
CRD#: 167958
New York, NY
Past
July 18, 2018 - October 5, 2020
SOFI SECURITIES LLC
BD
CRD#: 151717
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(11/3/2020)
RR
Alaska(11/3/2020)
RR
Arizona(11/3/2020)
RR
Arkansas(11/3/2020)
RR
California(11/3/2020)
RR
Colorado(11/3/2020)
RR
Connecticut(11/3/2020)
RR
Delaware(11/3/2020)
RR
District of Columbia(11/3/2020)
RR
Florida(11/3/2020)
RR
Georgia(11/3/2020)
RR
Hawaii(11/3/2020)
RR
Idaho(11/3/2020)
RR
Illinois(11/3/2020)
RR
Indiana(11/3/2020)
RR
Iowa(11/3/2020)
RR
Kansas(11/3/2020)
RR
Kentucky(11/3/2020)
RR
Louisiana(11/3/2020)
RR
Maine(11/3/2020)
RR
Maryland(11/3/2020)
RR
Massachusetts(11/3/2020)
RR
Michigan(11/3/2020)
RR
Minnesota(11/3/2020)
RR
Mississippi(11/3/2020)
RR
Missouri(11/3/2020)
RR
Montana(11/3/2020)
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Nebraska(11/3/2020)
RR
Nevada(11/3/2020)
RR
New Hampshire(11/3/2020)
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New Jersey(11/3/2020)
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New Mexico(11/3/2020)
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New York(11/3/2020)
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North Carolina(11/3/2020)
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North Dakota(11/3/2020)
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Ohio(11/3/2020)
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Oklahoma(11/3/2020)
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Oregon(11/3/2020)
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Pennsylvania(11/3/2020)
RR
Puerto Rico(11/3/2020)
RR
Rhode Island(11/3/2020)
RR
South Carolina(11/3/2020)
RR
South Dakota(11/3/2020)
RR
Tennessee(11/3/2020)
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Texas(11/3/2020)
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Utah(11/3/2020)
RR
Vermont(11/3/2020)
RR
Virgin Islands(11/3/2020)
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Virginia(11/3/2020)
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Washington(11/3/2020)
RR
West Virginia(11/3/2020)
RR
Wisconsin(11/3/2020)
RR
Wyoming(11/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OT
OPEN TO THE PUBLIC INVESTING, INC.
LIQUID PRIME SERVICES INC. | TACONIC CAPITAL GROUP INC. | T3 SECURITIES, INC. | PUBLIC INVESTING | PUBLIC | OPEN TO THE PUBLIC INVESTING, INC. | LIQUID PRIME SERVICES, INC.
CRD#: 127818 / SEC#: , 8-66049
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
6 Harrison St 5th Floor/suite, New York, NY 10013
Mailing Address
228 Park Ave. S Suite 97716, New York, NY 10003
Phone number
(212) 401-6946
Established
New York since 05/16/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
