Thomas S. Stephens
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.
Thomas Scott Stephens II, who also goes by Thomas Scott Stephens, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 15 firms and has passed the Series 65, 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
January 2, 2018 - October 27, 2022
LHT CONSULTANTS
August 18, 2008 - July 3, 2017
B. RILEY WEALTH MANAGEMENT
July 18, 2007 - July 3, 2008
FERRIS, BAKER WATTS, LLC
January 4, 2005 - July 18, 2007
STANFORD GROUP COMPANY
May 6, 2002 - November 11, 2004
UBS CAPITAL MARKETS L.P.
January 16, 2002 - February 12, 2002
DAVENPORT & COMPANY LLC
November 1, 1999 - November 15, 2001
TUCKER ANTHONY INCORPORATED
May 3, 1999 - November 1, 1999
CLEARY GULL INC.
August 19, 1992 - May 3, 1999
TUCKER ANTHONY INCORPORATED
January 31, 1991 - August 26, 1992
ADVEST, INC.
April 15, 1986 - July 2, 1986
REUTERS TRANSACTION SERVICES LLC
September 25, 1985 - February 7, 1986
LEGG MASON WOOD WALKER, INCORPORATED
May 13, 1985 - September 27, 1985
KUHNS BROTHERS & LAIDLAW, INC.
February 5, 1985 - April 8, 1985
CRALIN & CO., INC.
March 4, 1983 - November 2, 1984
KUHNS BROTHERS & LAIDLAW, INC.
September 20, 1981 - January 4, 1983
MOSELEY SECURITIES CORPORATION
November 27, 1978 - October 30, 1981
JOHN MUIR & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LHT CONSULTANTS
CRD#: 289780 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 15,413,000 |
Red Flags
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