Steven W. Riger
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.
Steven William Riger was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1975. Steven had worked at 6 firms and has passed the Series 63, Series 7, Series 5, Series 1, Series 24, Series 8 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2001 - November 30, 2007
STANFORD GROUP COMPANY
January 8, 2001 - November 30, 2007
STANFORD GROUP COMPANY
April 1, 1996 - November 17, 2000
UBS FINANCIAL SERVICES INC.
July 31, 1993 - May 18, 1995
CITIGROUP GLOBAL MARKETS INC.
February 25, 1982 - July 31, 1993
LEHMAN BROTHERS INC.
June 21, 1976 - December 13, 1976
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 17, 1975 - April 1, 1976
METROPOLITAN LIFE INSURANCE COMPANY
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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 6/13/1975
Registered Representative ExaminationSeries 8
Date: 7/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 5/15/1982
NYSE Branch Manager ExaminationCurrent Firm
STANFORD GROUP COMPANY
CRD#: 39285 / SEC#: 801-50374, 8-48611
Contact information
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 4 |
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.
