Stephen L. Schardin
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 Lee Schardin was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2004 - March 9, 2017
CHARLES RIVER BROKERAGE, LLC
January 4, 2001 - August 18, 2003
DAILY ACCESS ADVISORS, INC.
January 30, 1998 - December 2, 1998
TUCKER ANTHONY INCORPORATED
November 8, 1996 - December 12, 1997
RAUSCHER PIERCE REFSNES, INC.
October 12, 1995 - April 11, 1997
PNC BROKERAGE CORP
December 11, 1985 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
November 28, 1980 - December 20, 1985
PRUDENTIAL EQUITY GROUP, LLC
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 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 8
Date: 2/20/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES RIVER BROKERAGE, LLC
CRD#: 132267 / SEC#: , 8-66578
Contact information
FINRA licenses (18 States and Territories)
Documents
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.
