Stephen H. Shearn
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 Harold Shearn, who also goes by Stephen H Shearn, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1978. Stephen had worked at 6 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2016 - February 21, 2023
QUINTES FINANCIAL SERVICES, LLC
February 17, 2016 - May 23, 2016
VOYA FINANCIAL ADVISORS, INC.
July 8, 2013 - January 25, 2016
HAYASHI & WAYLAND INVESTMENT SERVICES, LLC
May 4, 2001 - May 29, 2007
LPL FINANCIAL LLC
January 22, 2001 - May 29, 2007
LPL FINANCIAL LLC
February 27, 1985 - April 14, 1989
WESCO SECURITIES, INC.
November 27, 1978 - August 5, 1982
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
QUINTES FINANCIAL SERVICES, LLC
CRD#: 284960 / SEC#: 801-120746
Contact information
Regulatory assets under management
| Total Number of Accounts | 80 |
| AUM (Assets Under Management) | $ 218,706,823 |
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.
