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SR

Stephen W. Reesing

FOCUS STRATEGIES MERCHANT BANKING
Austin, TX 78731
Some features on this profile are disabled
CRD#: 7059582
SR

Professional summary

Stephen Wayne Reesing, who also goes by Steve Reesing, is a registered financial professional currently at FOCUS STRATEGIES MERCHANT BANKING, LLC located in Austin, Texas.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2019. Stephen has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Reesing

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Wayne Reesing'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®
None

Experience

Current

June 14, 2019 - Present

FOCUS STRATEGIES MERCHANT BANKING, LLC

Office #1: 7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731
BD
CRD#: 172021
Austin, TX

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
Texas
(8/23/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 8/23/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/14/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 3/22/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FOCUS STRATEGIES MERCHANT BANKING, LLC
FOCUS STRATEGIES MERCHANT BANKING, LLC

CRD#: 172021 / SEC#: , 8-69495

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731
Mailing Address
7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731
Phone number
(512) 477-3280
Established
Texas since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FOCUS STRATEGIES PARTNERS, LLCOWNER
HELLER, JEFFREY PHILIPFINOP, PFO, POO3139370
SANDLIN, JAMES OLIVERCHIEF COMPLIANCE OFFICER4428785
VALDEZ, FRANK GARYPRESIDENT4998611

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.

Company Information

FOCUS STRATEGIES MERCHANT BANKING, LLC

CRD#: 172021Austin, TX 78731

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