Stephen B. Stone
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 Bradley Stone, who also goes by Stonie Stone, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 13 firms and has passed the Series 65, Series 63, Series 1, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2008 - July 2, 2008
NEXT FINANCIAL GROUP, INC.
May 30, 2008 - July 2, 2008
NEXT FINANCIAL GROUP, INC.
August 2, 2006 - February 9, 2017
STONE, STEPHEN B.
April 17, 2000 - May 25, 2006
SECURITIES AMERICA ADVISORS, INC.
August 8, 1996 - May 25, 2006
SECURITIES AMERICA, INC.
April 16, 1993 - July 25, 1996
QUEST SECURITIES, INC.
April 8, 1992 - March 11, 1993
AMERICAN CAPITAL CORPORATION
May 24, 1991 - April 23, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 24, 1991 - April 23, 1992
PRUCO SECURITIES, LLC.
September 7, 1990 - May 15, 1991
AMERICAN CAPITAL CORPORATION
May 3, 1990 - September 13, 1990
MML INVESTORS SERVICES, LLC
March 30, 1990 - April 9, 1990
HARDING/HALL, INC.
June 19, 1983 - November 21, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
November 24, 1982 - May 15, 1990
CAPITAL PLANNING GROUP, INC.
May 8, 1980 - November 29, 1982
LPL FINANCIAL LLC
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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: 4/29/1980
Registered Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
