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Stephen Francis Stroup

18 Years of Experience
Broker
Areas of Practice
Investment ManagementFinancial Planning & CoachingRetirement PlanningEducation PlanningInsurance PlanningHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
3 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Minimum Investment:$100K
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Location

Weatogue, CT

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Stephen is an investment advisor and supervision manager at Onward Advisors, dedicating a few hours per week. He also serves as Head of Supervision at Wedbush & Co. and Qapital LLC, spending about 10-20% of his time and about a quarter of his time respectively.

Employment History
Current Registrations
Wedbush & CO., LLC
February 2024 - Present · 2 yrs
Wedbush & CO., LLCBroker
February 2024 - Present · 2 yrs
Onward Advisors LLC
December 2023 - Present · 2 yrs 2 mos
Wedbush Securities INC.
July 2022 - Present · 3 yrs 7 mos
Wedbush Securities INC.Broker
July 2022 - Present · 3 yrs 7 mos
Previous Registrations
Ameriprise Financial Services, LLCBroker
March 2016 - July 2022 · 6 yrs 4 mos
Ameriprise Financial Services, LLC
March 2016 - July 2022 · 6 yrs 4 mos
U.S. Bancorp Investments, INC.
August 2014 - March 2016 · 1 yr 7 mos
U.S. Bancorp Investments, INC.Broker
August 2014 - March 2016 · 1 yr 7 mos
Ameriprise Financial Services, INC.
June 2011 - November 2011 · 5 mos
Ameriprise Financial Services, INC.Broker
June 2011 - November 2011 · 5 mos
Piper Jaffray & CO.Broker
June 2004 - February 2005 · 8 mos
Schonfeld Securities, LLCBroker
January 1999 - May 2003 · 4 yrs 4 mos
Focused Investments L.L.C.Broker
June 1997 - September 1998 · 1 yr 3 mos
Wayne Hummer Investments L.L.C.Broker
June 1997 - September 1998 · 1 yr 3 mos
Gruntal & CO., L.L.C.Broker
April 1997 - May 1997 · 1 mo
State Registrations20 states
AZCACOCTDCFLILMAMDMIMNNCNJNYPATNTXUTVAWA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Stephen Francis Stroup - Financial Advisor | TrueAdvisor