Stephen R. Searle
Professional summary
Stephen Richard Searle, who also goes by Steve Searle, is a registered financial advisor currently at EVERGREEN INVESTMENT MANAGEMENT, LLC located in Highlands Ranch, Colorado.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Richard Searle's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2017 - Present
EVERGREEN INVESTMENT MANAGEMENT, LLC
October 5, 2009 - December 18, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - December 18, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
July 6, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 13, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 31, 1993 - April 3, 2009
CITIGROUP GLOBAL MARKETS INC.
February 28, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
April 13, 1981 - March 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/13/2017)
(10/23/2020)
Exams
Series 8
Date: 1/23/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EVERGREEN INVESTMENT MANAGEMENT, LLC
CRD#: 289979 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 83 |
| AUM (Assets Under Management) | $ 13,000,000 |
Red Flags
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