Stephen W. Grant
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 William Grant, who also goes by Steve Grant, was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1980. Stephen had worked at 12 firms and has passed the Series 66, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2007 - July 16, 2008
GUARANTY BROKERAGE SERVICES, INC.
October 4, 2006 - February 15, 2007
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - February 15, 2007
CHASE INVESTMENT SERVICES CORP.
May 27, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
April 14, 2004 - February 8, 2005
FIDELITY BROKERAGE SERVICES LLC
January 18, 2002 - November 13, 2002
ALLSTATE FINANCIAL SERVICES, LLC
April 4, 2000 - August 22, 2001
MOMENTUM INDEPENDENT NETWORK INC.
March 13, 1997 - April 4, 2000
INVESTMENT PROFESSIONALS, INC.
March 30, 1994 - July 30, 1996
BA INVESTMENT SERVICES, INC.
September 23, 1993 - March 11, 1994
BANC ONE SECURITIES CORPORATION
April 15, 1991 - June 11, 1993
AMERIPRISE ADVISOR SERVICES, INC.
April 3, 1989 - May 28, 1991
UBS FINANCIAL SERVICES INC.
September 25, 1987 - April 15, 1989
ROTAN MOSLE INC.
September 18, 1987 - September 30, 1987
UBS FINANCIAL SERVICES INC.
August 19, 1980 - October 5, 1987
PRUDENTIAL EQUITY GROUP, LLC
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
Current Firm
GUARANTY BROKERAGE SERVICES, INC.
CRD#: 23302 / SEC#: , 8-40258
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRIMEVEST FINANCIAL SERVICES, INC. | SOLE SHAREHOLDER | 15340 |
| BONNEAU, CATHERINE MCCORMACK | PRESIDENT, CHAIRMAN, CEO AND DIRECTOR | 2899706 |
| BURNS, MICHAEL DENNIS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY | 2030617 |
| CASEY, SEAN PATRICK | VICE PRESIDENT, DIRECTOR OF BUSINESS DEVELOPMENT | 2156290 |
| DILLON, LADONNA JEAN | ASSISTANT VICE PRESIDENT | 1076897 |
| HOLWEGER, KIMBERLEY ANN | VICE PRESIDENT AND DIRECTOR OF OPERATIONS | 1572778 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT AND DIRECTOR OF TRADING | 1961258 |
| RUMMELMCCOOL, LEANN RENEE | DIRECTOR, VICE PRESIDENT AND NATIONAL SALES DIRECTOR | 1965155 |
| SHELSON, MARK PAUL | DIRECTOR, VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 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.
