Robert T. Stephens
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.
Robert Terence Stephens, who also goes by Robert Terrence Stephens, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2007 - December 4, 2013
SCOTTRADE, INC.
April 12, 2005 - July 6, 2005
APEX CLEARING CORPORATION
August 4, 1998 - March 3, 2005
BANC OF AMERICA SECURITIES LLC
February 3, 1997 - August 8, 1998
MORGAN STANLEY & CO. LLC
May 25, 1988 - February 18, 1997
FLEET BROKERAGE SECURITIES, INC.
October 2, 1986 - May 23, 1988
MIKIEL DE BARY SECURITIES CORPORATION
March 20, 1985 - September 24, 1986
WORLD FIRST FINANCIAL SERVICES, INC.
February 17, 1983 - March 11, 1985
FLEET BROKERAGE SECURITIES, 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 55
Date: 1/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
