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Stephen Andrew Geis

BA Securities, LLC

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About Stephen Andrew Geis

Stephen Andrew Geis is a securities professional with over 20 years of experience in the financial services industry. Stephen has a strong track record of success in providing investment advice and wealth management services to individuals and families. Stephen is currently registered with BA Securities, LLC, a leading investment firm. Prior to joining BA Securities, LLC, Stephen was with Falconbridge Capital Markets, LLC and SunTrust Robinson Humphrey, Inc. Stephen is licensed to sell securities in several states including California, Florida, Georgia, Minnesota, New York, North Carolina, Oregon, Pennsylvania, Texas and Utah. Stephen holds the Series 7 and Series 63 securities licenses, and he has also passed the Securities Industry Essentials Examination (SIE).

Firm Information

Stephen Geis is currently registered with BA Securities, LLC. BA Securities, LLC is a Limited Liability Company formed on January 25, 2010. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

215

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Stephen Geis’s Registration & Firm History

PA

10/18/2017 - Present

BA Securities, LLC (W. CONSHOHOCKEN PA)

NC

03/09/2009 - 08/17/2015

FALCONBRIDGE CAPITAL MARKETS, LLC (CHARLOTTE NC)

NC

08/20/2007 - 12/10/2008

SUNTRUST ROBINSON HUMPHREY, INC. (CHARLOTTE NC)

NC

08/17/2004 - 08/14/2007

PNC CAPITAL MARKETS LLC (CHARLOTTE NC)

MO

06/11/2001 - 04/05/2002

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 10/05/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/26/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Andrew Geis.
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