SA
Stephen Ashey
DELPHOS MMJ L.P.
NEW YORK, NY 10020
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CRD#: 7432615
SA
Professional summary
Stephen Ashey is a registered financial professional currently at DELPHOS MMJ L.P. located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2024. Stephen has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Ashey's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 13, 2026 - Present
DELPHOS MMJ L.P.
Office #1: 1270 Avenue Of The Americas 7th Floor, New York, NY 10020BD
CRD#: 137389
NEW YORK, NY
Past
January 1, 2024 - October 9, 2025
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/13/2026)
RR
Alaska(4/13/2026)
RR
Arizona(4/13/2026)
RR
Arkansas(4/13/2026)
RR
California(4/13/2026)
RR
Colorado(4/13/2026)
RR
Connecticut(4/13/2026)
RR
Delaware(4/13/2026)
RR
District of Columbia(4/13/2026)
RR
Florida(4/13/2026)
RR
Georgia(4/13/2026)
RR
Hawaii(4/13/2026)
RR
Idaho(4/13/2026)
RR
Illinois(4/13/2026)
RR
Indiana(4/13/2026)
RR
Iowa(4/13/2026)
RR
Kansas(4/13/2026)
RR
Kentucky(4/13/2026)
RR
Louisiana(4/13/2026)
RR
Maine(4/13/2026)
RR
Maryland(4/13/2026)
RR
Massachusetts(4/13/2026)
RR
Michigan(4/13/2026)
RR
Minnesota(4/13/2026)
RR
Mississippi(4/13/2026)
RR
Missouri(4/13/2026)
RR
Montana(4/13/2026)
RR
Nebraska(4/13/2026)
RR
Nevada(4/13/2026)
RR
New Hampshire(4/13/2026)
RR
New Jersey(4/13/2026)
RR
New Mexico(4/13/2026)
RR
New York(4/13/2026)
RR
North Carolina(4/13/2026)
RR
North Dakota(4/13/2026)
RR
Ohio(4/13/2026)
RR
Oregon(4/13/2026)
RR
Pennsylvania(4/13/2026)
RR
Puerto Rico(4/13/2026)
RR
Rhode Island(4/13/2026)
RR
South Carolina(4/13/2026)
RR
South Dakota(4/13/2026)
RR
Tennessee(4/13/2026)
RR
Texas(4/13/2026)
RR
Utah(4/13/2026)
RR
Vermont(4/13/2026)
RR
Virginia(4/13/2026)
RR
Washington(4/13/2026)
RR
West Virginia(4/13/2026)
RR
Wisconsin(4/13/2026)
RR
Wyoming(4/13/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/29/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DM
DELPHOS MMJ L.P.
DELPHOS MMJ L.P. | VEGA SECURITIES LP | PROXIMA ALFA SECURITIES LP | MANN MANN JENSEN PARTNERS LP | DELPHOS MMJ LP
CRD#: 137389 / SEC#: , 8-67083
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1270 Avenue Of The Americas 7th Floor, New York, NY 10020
Mailing Address
1270 Avenue Of The Americas 7th Floor, New York, NY 10020
Phone number
(215) 694-5054
Established
Delaware since 08/10/2005
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 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.
