Steven R. Devries
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.
Steven Robert Devries was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1979. Steven had worked at 7 firms and has passed the Series 63, Series 3, Series 5 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
July 26, 1993 - December 31, 1993
REALTA EQUITIES, INC.
November 27, 1992 - June 21, 1993
REALTA EQUITIES, INC.
November 19, 1989 - October 5, 1992
OSAIC WEALTH, INC.
February 15, 1988 - March 3, 1988
LEHMAN BROTHERS INC.
January 26, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 18, 1980 - February 15, 1988
E. F. HUTTON & COMPANY INC
January 31, 1980 - December 14, 1980
UBS FINANCIAL SERVICES INC.
July 27, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS 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
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
