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DAVID LEE STEVENS
DAVE STEVENS
CRD#: 1444819
IA
B
A & I WEALTH MANAGEMENTCRD#: 148357 9605 KINGSTON COURT
SUITE 190
LONE TREE, CO 80112
SUITE 190
LONE TREE, CO 80112
GENEOS WEALTH MANAGEMENT, INC.CRD#: 120894 9605 KINGSTON COURT
SUITE 190
LONE TREE, CO 80112
SUITE 190
LONE TREE, CO 80112
0
Disclosures
39
Years of Experience
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State Registrations
B
Colorado 4/1/2008
B
Nebraska 4/1/2008
IA
Colorado 4/1/2008
B
New Mexico 7/2/2018
B
Florida 4/1/2008
B
North Carolina 9/2/2022
B
Michigan 1/23/2014
SRO Registrations
B
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IA
Registered with this firm since 1/22/2019
IA
Registered with this firm since 4/1/2008
B
Registered with this firm since 4/1/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/02/1999 - 02/28/2019 | ENGLEWOOD, CO | |
IA | 01/01/1999 - 04/24/2008 | ENGLEWOOD, CO | |
B | 01/30/1994 - 04/24/2008 | ENGLEWOOD, CO | |
B | 07/31/1992 - 01/18/1994 | WELLESLEY HILLS, MA | |
B | 02/14/1989 - 08/31/1992 | TAMPA, FL | |
B | 12/23/1988 - 01/19/1989 | KANSAS CITY, MO | |
B | 10/11/1988 - 12/23/1988 | KANSAS CITY, MO | |
B | 01/22/1986 - 10/24/1988 | WORCESTER, MA |
KANSAS CITY, MO
12/23/1988 - 01/19/1989
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.