Stephen J. Bloomer
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 Joseph Bloomer was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 4 firms and has passed the Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2009 - October 26, 2012
NICOL INVESTORS CORPORATION
November 9, 2007 - June 18, 2009
THE O.N. EQUITY SALES COMPANY
June 30, 2005 - October 24, 2006
SIGNATOR FINANCIAL SERVICES, INC.
September 28, 1990 - December 31, 2004
SENTRY EQUITY SERVICES, INC.
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 1
Date: 11/13/1976
Registered Representative ExaminationCurrent Firm
NICOL INVESTORS CORPORATION
CRD#: 123111 / SEC#: , 8-65566
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOL ENTERPRISES | OWNER | |
| NICOL, KEVIN GEORGE | PRESIDENT/ACTING SECRETARY/CHIEF COMPLIANCE OFFICER | 1109527 |
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.
