Stephen J. Poston
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 John Poston was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1977. Stephen had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
June 28, 2013 - December 15, 2015
COREBRIDGE CAPITAL SERVICES, INC.
August 8, 1997 - June 28, 2013
AMERICAN GENERAL DISTRIBUTORS, INC.
January 11, 1988 - January 28, 1997
CAL FED INVESTMENTS
July 20, 1987 - January 12, 1988
CAPITAL BROKERAGE CORPORATION
December 22, 1986 - July 6, 1987
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
February 19, 1986 - October 27, 1986
BANCAL INVESTMENT SERVICES, INC.
May 4, 1984 - October 30, 1984
BECKER PARIBAS INCORPORATED
September 26, 1978 - July 29, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Current Firm
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
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.
