Stephen Michael Maher
Professional Summary
Stephen Michael Maher was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1975 - 2008. Stephen had worked at 7 firms and has passed the Series 63, PC, Series 5, Series 7, Series 000, Series 4 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
Past
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Current Firm
1DB ASSET MANAGEMENT | 1ST DISCOUNT BROKERAGE, INC.
Contact Information
Main Address
8927 Hypoluxo Road Suite A5, Lake Worth, FL 33467Mailing Address
8927 Hypoluxo Road Suite A5, Lake Worth, FL 33467Phone Number
(561) 515-3200Established
Florida since 07/14/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
8SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
352AUM (Assets Under Management)
$131,402,154Disclosures
Regulatory Event
8Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
1DB ASSET MANAGEMENT | 1ST DISCOUNT BROKERAGE, INC.
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
PC — AMEX Put and Call Exam
Passed Jul 1982Series 5 — Interest Rate Options Examination
Passed Dec 1981Series 000 — General Securities Principal Examination
Passed Apr 1969Series 12 — NYSE Branch Manager Examination
Passed Aug 1981Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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