Stephen Walker is a registered investment advisor, based in Woodbury, NY, with 32 years of industry experience.
Location
125 Froehlich Farm Blvd., Woodbury, NY, 11797
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Regulatory History (4)
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Employment Separation After Allegations
May 2024Financial
September 2020Final
Customer Dispute
July 2010Settled
Customer Dispute
May 2001Settled
Other Business Activities
Stephen is the author of finance books and provides research consulting and public speaking services through Stratosphere, LLC, dedicating about 10% of his time. He also uses Wealth Devil, LLC for accounting purposes, spending minimal time on it.
Employment History
Current Registrations
Vanderbilt Advisory Services
April 2024 - Present · 2 yrs 1 mo
Vanderbilt Securities, LLCBroker
April 2024 - Present · 2 yrs 1 mo
Previous Registrations
Kingswood Wealth Advisors, LLC
February 2024 - April 2024 · 2 mos
Kingswood Capital Partners, LLCBroker
February 2024 - April 2024 · 2 mos
Aegis Capital CORP.
July 2020 - March 2024 · 3 yrs 8 mos
Aegis Capital CORP.Broker
July 2020 - March 2024 · 3 yrs 8 mos
RBC Capital Markets, LLCBroker
March 2015 - June 2020 · 5 yrs 3 mos
RBC Capital Markets, LLC
March 2015 - June 2020 · 5 yrs 3 mos
Oppenheimer & CO. INC.Broker
October 2010 - April 2015 · 4 yrs 6 mos
Morgan Stanley Smith BarneyBroker
June 2009 - May 2010 · 11 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
March 2001 - April 2007 · 6 yrs 1 mo
Deutsche Banc Alex. Brown INC.Broker
January 2001 - March 2001 · 2 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
July 1993 - September 1997 · 4 yrs 2 mos
State Registrations9 states
CADEFLGANCNJNYPATX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.