Stephen M. Drizos
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 Michael Drizos was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1974. Stephen had worked at 6 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2001 - July 21, 2003
MISCHLER FINANCIAL GROUP, INC.
December 8, 1999 - November 5, 2001
HORIZON CAPITAL, INC.
August 2, 1988 - January 13, 1999
DRIZOS INVESTMENTS, INC.
August 20, 1982 - August 31, 1988
RRZ PUBLIC MARKETS, INC.
January 5, 1977 - February 14, 1982
PARKER/HUNTER INCORPORATED
August 20, 1974 - January 5, 1977
PARKER/HUNTER INCORPORATED
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: 8/12/1974
Registered Representative ExaminationCurrent Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
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.
