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Stephen Patrick Scanlon

Cetera Advisors LLC

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About Stephen Patrick Scanlon

Stephen Scanlon is a financial advisor with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC, and Cetera Investment Services LLC. Stephen has over 20 years of experience in the financial services industry. Stephen is registered with FINRA and the state of California. Stephen holds the Series 7, 9, 10, 24, 63, and SIE licenses.

Firm Information

Stephen Scanlon is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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 Scanlon’s Registration & Firm History

CA

03/17/2017 - Present

Cetera Advisors LLC (SAN DIEGO CA)

CA

03/17/2017 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

CA

03/17/2017 - 12/03/2019

SUMMIT BROKERAGE SERVICES, INC. (San Diego CA)

CA

03/17/2017 - 11/01/2017

GIRARD SECURITIES, INC. (SAN DIEGO CA)

CA

11/13/2013 - 11/01/2016

SCOTTRADE, INC. (LA MESA CA)

CA

05/24/2012 - 09/19/2012

TRANSAMERICA FINANCIAL ADVISORS, INC (NORCO CA)

FL

02/13/2006 - 02/27/2009

E*TRADE SECURITIES LLC (TAMPA FL)

MA

04/18/2002 - 05/08/2006

BROWNCO, LLC (BOSTON MA)

CA

11/24/1999 - 06/07/2002

DREYFUS BROKERAGE SERVICES, INC. (LOS ANGELES CA)

CA

07/06/1998 - 10/26/1999

J.B. OXFORD & COMPANY (SHERMAN OAKS CA)

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Licenses & Designations

BC

Issued 06/01/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/16/2012

Series 24 - General Securities Principal Examination

BC

Issued 08/13/2001

Series 4 - Registered Options Principal Examination

BC

Issued 06/15/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 04/17/2001

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/23/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Patrick Scanlon.
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