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Information

Other Names: Stanley Marquis Stepps, Stanley Steppes
Firm:
Type: RIA
Description

Stanley Steppes is a financial professional at Christian Alexander Wealth Advisors, LLC. Stanley has held an industry securities registration for 7 years and is subject to SEC oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Stanley Marquis Steppes has not answered any questions on Financial Q&A.

Top Guides

Stanley Marquis Steppes has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

No client types listed.

Experience and Employment History

Employer Years Dates
Christian Alexander Wealth Advisors, LLC 1 year, 1 month Mar 2013 - Present
Cambridge Investment Research Advisors,Inc 1 month, 4 weeks Jan 2013 - Mar 2013
Cambridge Investment Research, Inc. 1 year, 2 months Jan 2012 - Mar 2013
Fenwick Securities, Inc. 1 year, 10 months Feb 2010 - Dec 2011
Michigan Securities, Inc. 1 year, 10 months Mar 2008 - Jan 2010
Natcity Investments, Inc. 1 year Nov 2006 - Nov 2007
Ameriprise Financial Services, Inc. 1 year, 1 month Oct 2005 - Nov 2006
Raymond James Financial Services, Inc. 1 year, 2 months Aug 2004 - Oct 2005
Raymond James Financial Services, Inc. 4 years, 6 months Feb 2000 - Aug 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/18/2013, 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
Not registered
Disclosures

1 Termination

1 Termination

As of Date
04/18/2013
09/25/2013
*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 12/05/2012
Uniform Combined State Law Examination Series 66 10/15/2004
General Securities Representative Examination Series 7 09/07/2004

Firm Compensation Arrangements

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No compensation arrangements listed.