Steven B. Reid
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 Bowman Reid, who also goes by Bow Reid, Steven Bowan Reid, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 14 firms and has passed the Series 63, SIE, Series 7 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
December 1, 2006 - October 12, 2015
QUESTAR CAPITAL CORPORATION
September 8, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
May 8, 2003 - July 20, 2004
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
October 15, 2002 - June 24, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 1, 2002 - September 30, 2002
NYLIFE SECURITIES LLC
February 7, 2001 - March 15, 2002
MML INVESTORS SERVICES, LLC
October 5, 2000 - December 19, 2000
INVESTORS CAPITAL CORP.
March 10, 1998 - October 7, 1998
CARTY, HARDING & HEARN, INC.
September 17, 1996 - April 10, 1998
WMA SECURITIES, INC.
January 1, 1991 - September 29, 1994
VINING-SPARKS IBG, LLC
October 26, 1990 - September 29, 1994
ICBA SECURITIES
September 17, 1990 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
March 3, 1986 - October 1, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
December 22, 1980 - January 29, 1982
UBS FINANCIAL SERVICES INC.
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
