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Detailed Report
HAROLD DAVID STEPHENSON
CRD#: 1056942
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
19982000200220042006200820102012201420162018202020222024IASTRATEGIC WEALTH ADVISORS GROUP (CRD# 283824)2016 - 2022 (5 years)IALPL FINANCIAL LLC (CRD# 6413)1997 - 2016 (18 years)IASTRATEGIC WEALTH ADVISORS GROUP (CRD# 140977)2015 - 2016 (1 year)
Disclosure(s)
View By:
3/7/2023
Regulatory
Final
6/10/2022
Employment Separation After Allegations
12/27/2012
Customer Dispute
Settled
6/7/2010
Customer Dispute
Denied
10/30/2008
Customer Dispute
Settled
11/2/2004
Customer Dispute
Settled
Previous Registration(s)
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 07/07/2016 - 06/17/2022 STRATEGIC WEALTH ADVISORS GROUP (CRD#:283824) Concord, CA
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 12/31/1997 - 09/07/2016 LPL FINANCIAL LLC (CRD#:6413) CONCORD, CA
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 06/09/2015 - 07/06/2016 STRATEGIC WEALTH ADVISORS GROUP (CRD#:140977) CONCORD, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.