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SD

Steven R. Davis

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CRD#: 721252
SD

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.

Steven Roger Davis MR., who also goes by Steven Roger Davis, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3, Series 4, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Roger Davis

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 1, 2004 - September 22, 2025

MARINER INVESTMENT GROUP

BD
CRD#: 35993
HOUSTON, TX
Past

May 19, 1998 - September 24, 2002

MARINER INVESTMENT GROUP

BD
CRD#: 35993
HOUSTON, TX
Past

October 31, 1988 - June 5, 1990

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

March 3, 1988 - June 27, 1988

UNION EXCHANGE SECURITIES, INCORPORATED

BD
CRD#: 15191
Past

April 23, 1986 - February 29, 1988

MAY & O'CONNOR CAPITAL INC

BD
CRD#: 13326
Past

October 31, 1984 - April 10, 1986

AMERICAN CAPITAL EQUITIES, INC.

BD
CRD#: 13272
Past

September 1, 1982 - July 16, 1984

CONTISECURITIES, INC.

BD
CRD#: 6926
Past

December 22, 1980 - August 18, 1982

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/14/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/3/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 2/28/1985
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/8/2009
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 4/28/2003
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/3/1985
General Securities Principal Examination

Current Firm

MI
MARINER INVESTMENT GROUP
MARINER FINANCIAL GROUP | MIG REGISTERED ADVORY INVESTMEN | MARINER INVESTMENT GROUP | MARINER FINANCIAL GROUP, INC.

CRD#: 35993 / SEC#: , 8-47067

BD
Terminated by SEC on 09/21/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 01/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JOE F. & THERESE M. MOORE CHILDREN FAMILY TRUSTPART OWNER
DAVIS, STEVEN ROGER MR.FINOP & OPTION PRINCIPAL721252
ECFORD, WELDON JAMESTRUSTEE1276523
ECFORD, WELDON JAMESPRESIDENT, CCO1276523
MOORE, THERESE MTRUSTEE5864925

Disclosures

Regulatory Event4

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

MARINER INVESTMENT GROUP

CRD#: 35993

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