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Information

Other Names: Steve Bright, Steven H Bright
Firm:
Type: Dual Registration
Description

Steven Bright is a financial professional at Southwest Securities, Inc., a broker-dealer with 485 registered representatives nationwide. Steven has held an industry securities registration for 23 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Steven Howard Bright has not answered any questions on Financial Q&A.

Top Guides

Steven Howard Bright has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Southwest Securities 7 years, 2 months Feb 2007 - Present
Stifle Nicolaus 4 years, 9 months May 2002 - Feb 2007
Rosedale Hills U.M. Church 25 years, 8 months Aug 1988 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 02/04/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

8 Customer Disputes

8 Customer Disputes

As of Date
02/04/2013
08/13/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 07/05/2001
Uniform Securities Agent State Law Examination Series 63 07/03/1990
General Securities Representative Examination Series 7 06/16/1990

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Other: 12B-1 FEES