RS
Richard L. Stevens
IBN FINANCIAL SERVICES
Bluffton, SC
Some features on this profile are disabled
CRD#: 852090
RS
Professional summary
Richard Lee Stevens is a registered financial advisor currently at IBN FINANCIAL SERVICES, INC. located in Bluffton, South Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 62, Series 22, Series 6 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
(1) NAME: "Advanced Planning Strategies Program"; INV-REL: No; ADDRESS: #6 Five Oaks Ln., Valley Cottage, NY 10989; NATURE: Referral Service; POSITION: Independent Contractor; DATE: 1/14/2014; HRS/MO: 10; TRADING HRS/MO: 0; DUTIES: Refers customers to professionals in various fields (legal, accounting etc.), which outside of RR's area of expertise, in order to assist customers in creating comprehensive financial strategies, through the coordination multiple specialists.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Stevens's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Lee Stevens'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
July 15, 2021 - Present
IBN FINANCIAL SERVICES, INC.
RIA
BD
CRD#: 42360
Bluffton, SC
Current
October 2, 2013 - Present
IBN FINANCIAL SERVICES, INC.
Office #1: 404 Old Liverpool Rd, Liverpool, NY 13088RIA
BD
CRD#: 42360
Liverpool, NY
Past
September 20, 2012 - September 27, 2013
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
VALLEY COTTAGE, NY
Past
September 18, 2012 - September 27, 2013
GRADIENT ADVISORS, LLC
RIA
CRD#: 152665
VALLEY COTTAGE, NY
Past
October 3, 2007 - June 28, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
VALLEY COTTAGE, NY
Past
August 17, 2007 - June 28, 2012
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
VALLEY COTTAGE, NY
Past
June 28, 1999 - September 10, 2007
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
HONESDALE, PA
Past
December 20, 1985 - May 27, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
December 20, 1985 - May 27, 1999
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
December 13, 1984 - December 5, 1985
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Connecticut(10/2/2013)
RR
Florida(10/2/2013)
RR
New Jersey(11/25/2013)
RR
New York(10/2/2013)
IAR
New York(7/15/2021)
RR
North Carolina(9/11/2025)
RR
Pennsylvania(12/13/2013)
RR
South Carolina(6/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 10/9/2006
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 4/28/1978
Registered Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
IF
IBN FINANCIAL SERVICES, INC.
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
CRD#: 42360 / SEC#: 801-111848, 8-49815
RIA
Registered Investment Advisory firm - SEC (10/12/2017 Approved)Kentucky
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)New Jersey
Registered Investment Advisory firm - SEC (2/28/2018 Terminated)New York
Registered Investment Advisory firm - SEC (7/19/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (2/5/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (2/1/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
404 Old Liverpool Rd, Liverpool, NY 13088
Mailing Address
P.o. Box 2365, Liverpool, NY 13089
Phone number
(315) 652-4426
Established
New York since 12/15/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
79
SEC notice filing (18 States and Territories)
FINRA licenses (50 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 180,458,175 |
Disclosures
| Regulatory Event | 9 |
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.
