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STEPHEN LEE CARUTHERS
STEVE CARUTHERS
CRD#: 2516033
IA
B
CAPITAL CLIENT GROUP, INC.CRD#: 6247 6455 IRVINE CENTER DRIVE
IRVINE, CA 92618
IRVINE, CA 92618
0
Disclosures
25
Years of Experience
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State Registrations
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Alabama 1/9/2013
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Montana 11/13/2006
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Alaska 11/13/2006
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Nebraska 11/13/2006
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Arizona 11/13/2006
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Nevada 11/13/2006
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Arkansas 1/9/2013
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New Hampshire 1/9/2013
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California 6/29/2005
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New Jersey 1/9/2013
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California 4/25/2013
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New Mexico 11/13/2006
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Colorado 11/13/2006
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New York 2/10/2010
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Connecticut 1/9/2013
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North Carolina 1/9/2013
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Delaware 1/9/2013
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North Dakota 5/25/2010
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District of Columbia 1/9/2013
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Ohio 1/9/2013
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Florida 1/9/2013
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Oklahoma 11/13/2006
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Georgia 1/9/2013
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Oregon 11/13/2006
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Hawaii 11/13/2006
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Pennsylvania 1/9/2013
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Idaho 11/13/2006
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Puerto Rico 1/9/2013
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Illinois 1/9/2013
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Rhode Island 1/9/2013
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Indiana 1/9/2013
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South Carolina 1/9/2013
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Iowa 1/9/2013
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South Dakota 3/24/2009
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Kansas 11/13/2006
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Tennessee 1/9/2013
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Kentucky 1/9/2013
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Texas 2/10/2010
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Louisiana 1/9/2013
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Utah 11/13/2006
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Maine 1/9/2013
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Vermont 1/9/2013
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Maryland 1/9/2013
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Virgin Islands 1/9/2013
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Massachusetts 1/9/2013
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Virginia 1/9/2013
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Michigan 11/5/2012
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Washington 11/13/2006
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Minnesota 1/9/2013
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West Virginia 1/9/2013
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Mississippi 1/9/2013
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Wisconsin 11/13/2006
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Missouri 11/5/2012
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Wyoming 3/24/2009
SRO Registrations
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Registered with this firm since 4/25/2013
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Registered with this firm since 6/29/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/12/2003 - 05/23/2005 | NEW YORK, NY | |
B | 05/30/2000 - 12/12/2003 | KANSAS CITY, MO | |
B | 02/27/1996 - 12/10/1996 | KANSAS CITY, MO |
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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.