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Detailed Report
STEPHEN ROBERT WALSH II
STEPHEN ROBERT WALSH, STEVE WALSH
CRD#: 1856275
IA
Investment Adviser
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Previous Broker
CREATIVE PLANNINGCRD#: 105348 SANTA ROSA BEACH, FL
Registration History
199019952000200520102015202020252 FIRMS2004 - 2012 (7 years)2 FIRMS2012 - 2013 (1 year)2 FIRMS2013 - 2017 (3 years)IACREATIVE PLANNING (CRD# 105348)2017 - Present (8 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1997 - 2004 (7 years)BRAIKE FINANCIAL GROUP INC. (CRD# 38095)1996 - 1997 (1 year)BCITY SECURITIES CORPORATION (CRD# 1459)1995 - 1996 (1 year)BFIRST COLONIAL SECURITIES GROU... (CRD# 25121)1994 - 1995 (<1 year)BD. BLECH & COMPANY, INCORPORATED (CRD# 26063)1994 - 1994 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1992 - 1994 (1 year)BJ. W. GANT & ASSOCIATES, INC. (CRD# 7963)1990 - 1992 (1 year)BFIRST MONTAUK SECURITIES CORP. (CRD# 13755)1990 - 1990 (<1 year)BJ. W. GANT & ASSOCIATES, INC. (CRD# 7963)1988 - 1990 (1 year)IAAMERIVEST INVESTMENT MANAGEMEN... (CRD# 111514)2006 - 2012 (6 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2003 - 2004 (1 year)
Disclosure(s)
View By:
9/2/2008
Customer Dispute
Denied
License(s)

State Registrations

IA
Florida 2/2/2017
Current Registration(s)
IA
CREATIVE PLANNING (CRD#:105348)
SANTA ROSA BEACH, FL
Registered with this firm since 2/2/2017
Previous Registration(s)
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 12/23/2013 - 01/11/2017 PNC INVESTMENTS (CRD#:129052) PITTSBURGH, PA
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 12/20/2013 - 01/11/2017 PNC INVESTMENTS (CRD#:129052) PITTSBURGH, PA
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 11/01/2012 - 12/04/2013 OPPENHEIMER & CO. INC. (CRD#:249) ATLANTA, GA
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 10/25/2012 - 12/04/2013 OPPENHEIMER & CO. INC. (CRD#:249) ATLANTA, GA
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 05/05/2006 - 10/03/2012 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) ROSWELL, GA
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 12/16/2004 - 10/03/2012 TD AMERITRADE, INC. (CRD#:7870) ALPHARETTA, GA
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 12/10/2004 - 10/03/2012 TD AMERITRADE, INC. (CRD#:7870) ALPHARETTA, GA
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 02/05/2003 - 12/08/2004 CHARLES SCHWAB & CO., INC. (CRD#:5393) FISHERS (INDIANAPOLIS), IN
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 08/14/1997 - 12/08/2004 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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 05/29/1996 - 07/17/1997 RAIKE FINANCIAL GROUP INC. (CRD#:38095) WOODSTOCK, GA
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 03/03/1995 - 05/11/1996 CITY SECURITIES CORPORATION (CRD#:1459) INDIANAPOLIS, IN
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 10/12/1994 - 03/07/1995 FIRST COLONIAL SECURITIES GROUP, INC. (CRD#:25121) BOCA RATON, FL
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 06/06/1994 - 10/27/1994 D. BLECH & COMPANY, INCORPORATED (CRD#:26063) NEW YORK, NY
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 08/19/1992 - 05/27/1994 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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 11/14/1990 - 07/29/1992 J. W. GANT & ASSOCIATES, INC. (CRD#:7963)
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 08/03/1990 - 11/21/1990 FIRST MONTAUK SECURITIES CORP. (CRD#:13755) RED BANK, NJ
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 08/25/1988 - 07/25/1990 J. W. GANT & ASSOCIATES, INC. (CRD#:7963)
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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.
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
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.