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Stanley Steppes

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Information

Other Names: Stanley Marquis Steppes, Stanley Marquis Stepps
Firm: No Current Employment Listed
Description

This advisor is no longer actively registered. Their most recent registration with Christian Alexander Wealth Advisors, LLC ended in December 31, 2013.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Christian Alexander Wealth Advisors, LLC 1 year, 9 months 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
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 12/05/2012
Uniform Combined State Law ExaminationSeries 66 10/15/2004
General Securities Representative ExaminationSeries 7 09/07/2004

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

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

Top Guides

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

Firm Client Types

No client types listed.

Licenses and Conduct

Regulator
License Status
Not registered
Not registered
Disclosures

1 Termination

1 Regulatory Event

1 Termination

1 Regulatory Event

As of Date
01/02/2014
12/11/2014
*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.

Firm Compensation Arrangements

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No compensation arrangements listed.