Stephen M. Hood
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 Michael Hood, who also goes by Steven M Barter, Steven Michael Barter, Stephen M Hood, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2009 - November 18, 2019
LIFEPLAN ADVISORS, INC.
November 16, 1999 - December 31, 2008
LIFEPLAN ADVISORS, INC.
April 9, 1991 - December 17, 1991
PACIFIC HARBOR SECURITIES, INC.
April 3, 1990 - April 2, 1991
PAN-WEST CAPITAL CORP.
December 20, 1985 - April 3, 1990
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 5, 1984 - January 18, 1986
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 3, 1980 - January 31, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
March 3, 1980 - January 31, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
March 3, 1980 - January 31, 1984
IDS LIFE INSURANCE COMPANY
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 1
Date: 2/22/1980
Registered Representative ExaminationCurrent Firm
LIFEPLAN ADVISORS, INC.
CRD#: 130382 / SEC#:
Contact information
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.
