Steven R. Bosco
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 Richard Bosco was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1981. Steven had worked at 5 firms and has passed the Series 63, Series 7, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2003 - February 11, 2005
GUNNALLEN FINANCIAL, INC
January 2, 2003 - February 11, 2005
GUNNALLEN FINANCIAL, INC
November 5, 2001 - August 5, 2002
WINDSOR STREET CAPITAL, LP
January 6, 1993 - November 5, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
January 15, 1988 - January 6, 1993
GENEVA SECURITIES,INC.
February 23, 1981 - February 4, 1988
JHM, 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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
