Stephen A. Claiborn
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 Allan Claiborn was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1979. Stephen had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
March 2, 2005 - September 29, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2005 - September 29, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 1988 - March 1, 2005
LEHMAN BROTHERS INC.
December 19, 1979 - May 14, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BANC OF AMERICA SECURITIES LLC
CRD#: 26091 / SEC#: , 8-42263
Contact information
Documents
Disclosures
| Regulatory Event | 88 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
