Individual Firm
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Steven D. Self
STEVEN DARRELL SELF, STEVEN SELF
CRD#: 2139421
IA
B
EDWARD JONESCRD#: 250 308 DOUCET ROAD
LAFAYETTE, LA 70503-3403
LAFAYETTE, LA 70503-3403
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4/19/2010
Customer Dispute
Denied
6/29/1999
Customer Dispute
Withdrawn
State Registrations
B
Alabama 9/6/2002
B
Mississippi 4/15/2003
B
Arizona 1/6/2014
B
Missouri 4/13/2010
B
Arkansas 10/25/2007
B
New Jersey 11/16/2017
B
California 1/7/2005
B
New Mexico 5/26/2010
B
Colorado 11/11/2002
B
New York 5/25/2010
B
Florida 12/13/2006
B
North Carolina 6/1/2010
B
Georgia 7/12/2006
B
Ohio 8/26/2013
B
Illinois 1/6/2014
B
South Carolina 7/22/2011
B
Indiana 5/26/2010
B
South Dakota 6/1/2023
B
Kansas 2/14/2005
B
Tennessee 2/15/2023
B
Kentucky 5/18/2005
B
Texas 4/10/1997
B
Louisiana 4/10/1997
IA
Texas 3/7/2019
IA
Louisiana 1/19/2007
B
Virginia 9/11/2008
B
Maryland 9/23/2014
B
West Virginia 3/23/2012
B
Minnesota 1/19/2012
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/19/2007
B
Registered with this firm since 4/10/1997
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/03/1996 - 04/11/1997 | ST. LOUIS, MO | |
B | 06/26/1991 - 10/07/1996 | BALTIMORE, MD |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.