Steven H. Delott
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 Howard Delott, who also goes by Steve H Delott, Steven H Delott, was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1981. Steven had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2006 - March 3, 2008
KESTRA INVESTMENT SERVICES, LLC
January 27, 2006 - March 3, 2008
KESTRA INVESTMENT SERVICES, LLC
May 27, 2004 - January 9, 2006
OSAIC WEALTH, INC.
July 2, 2003 - June 10, 2004
NSA SECURITIES CORPORATION
April 3, 2003 - June 26, 2003
INTERVEST INTERNATIONAL EQUITIES CORPORATION
September 26, 2001 - June 27, 2002
NSA SECURITIES CORPORATION
August 10, 1995 - September 18, 2001
WOODBURY FINANCIAL SERVICES, INC.
January 2, 1990 - August 4, 1995
ADVANTAGE CAPITAL CORPORATION
June 7, 1985 - December 31, 1989
AMERICAN GENERAL SECURITIES INCORPORATED
May 4, 1981 - September 9, 1985
ADVANTAGE CAPITAL CORPORATION
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
