R S. Doyle
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.
R Stephen Doyle, who also goes by Richard Stephen Doyle, Stephen R Doyle, was a registered financial advisor .
R is a previously registered financial advisor and started their career in finance in 1971. R had worked at 5 firms and has passed the Series 63, PC, 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
August 15, 2002 - November 28, 2012
MAIN MANAGEMENT, LLC
October 21, 1996 - March 14, 2003
MAM SECURITIES, LLC
November 10, 1983 - July 7, 1997
MONTGOMERY SECURITIES
October 29, 1974 - November 1, 1983
E. F. HUTTON & COMPANY INC
April 27, 1971 - December 29, 1974
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
MAIN MANAGEMENT, LLC
CRD#: 120361 / SEC#: 801-61113
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
PC
Date: 8/31/1977
AMEX Put and Call ExamSeries 1
Date: 4/22/1971
Registered Representative ExaminationCurrent Firm
MAIN MANAGEMENT, LLC
CRD#: 120361 / SEC#: 801-61113
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 314 |
| AUM (Assets Under Management) | $ 1,649,126,692 |
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.
