Stephen F. Kruse
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 Frederic Kruse, who also goes by Steve Kruse, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1978. Stephen had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2004 - December 18, 2014
COMERICA SECURITIES
February 11, 2004 - December 18, 2014
COMERICA SECURITIES
April 7, 2003 - January 26, 2004
CITICORP INVESTMENT SERVICES
August 6, 2002 - March 31, 2003
REDWOOD SECURITIES GROUP, INC.
March 21, 2002 - July 2, 2002
THE SHEMANO GROUP, INC.
November 7, 2001 - March 26, 2002
INTERFIRST CAPITAL CORPORATION
March 4, 1999 - September 6, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 19, 1996 - September 5, 2000
WELLS FARGO SECURITIES INC.
November 28, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 2, 1984 - November 13, 1984
WALL STREET WEST, INC.
November 15, 1983 - May 29, 1984
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 1, 1978 - August 27, 1981
THOMSON MCKINNON SECURITIES 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
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
