Stephen J. Larkin
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 John Larkin was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 7 firms and has passed the Series 63, Series 65, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2000 - October 15, 2001
INVESTMENT ADVISORS & CONSULTANTS, INC.
September 16, 1998 - May 12, 2000
VOYA FINANCIAL ADVISORS, INC.
May 4, 1994 - August 31, 1998
NATHAN & LEWIS SECURITIES, INC.
April 22, 1994 - May 17, 1996
NPC SECURITIES, INC.
January 1, 1992 - May 17, 1994
INVESTMENT ADVISORS & CONSULTANTS, INC.
October 29, 1991 - March 23, 1994
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 23, 1991 - October 3, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 1981 - April 18, 1991
CITISTREET EQUITIES 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
Current Firm
INVESTMENT ADVISORS & CONSULTANTS, INC.
CRD#: 7996 / SEC#: , 8-23962
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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