Stephen H. Fischer
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 Heiberg Fischer, who also goes by Steve Fischer, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2012 - August 28, 2015
FINTEGRA, LLC
December 2, 2005 - October 29, 2008
FINTEGRA, LLC
June 3, 2005 - December 10, 2010
CAPITALQUEST SECURITIES, INC.
December 8, 2003 - June 6, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 18, 1999 - December 9, 2003
FINTEGRA, LLC
January 18, 1994 - March 24, 1998
BANCNORTH INVESTMENT GROUP, INC.
October 8, 1986 - June 10, 1999
CETERA INVESTMENT SERVICES LLC
June 15, 1981 - October 16, 1986
IRI SECURITIES 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
FINTEGRA, LLC
CRD#: 16741 / SEC#: 801-56275, 8-34434
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINTEGRA HOLDINGS, LLC | SHAREHOLDERS | |
| CAURRO, STEPHEN ANTHONY | BOARD OF DIRECTORS | 5845813 |
| CONNER, DANIEL | BOARD OF DIRECTORS | |
| SCHMITZ, DOUGLAS GENE | BOARD OF DIRECTORS | 1771132 |
| SCHUH, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER, FINOP | 1036839 |
| WALTER, KENNETH JOHN | BOARD OF DIRECTORS | 5845803 |
| WEBER, DOREEN LEA | PRESIDENT/CEO/CCO | 1368639 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
