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LESLIE EARLE STEVENS
LES STEVENS, SONNY STEVENS
CRD#: 2585283
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 134 MAIN ST
AUBURN, ME 04210
AUBURN, ME 04210
CETERA ADVISORS LLCCRD#: 10299 134 MAIN ST
AUBURN, ME 04210
AUBURN, ME 04210
0
Disclosures
29
Years of Experience
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State Registrations
B
California 10/30/2024
B
Maine 10/3/2016
B
Florida 10/3/2016
IA
Maine 3/21/2024
SRO Registrations
B
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IA
Registered with this firm since 3/21/2024
B
Registered with this firm since 10/3/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/03/2016 - 03/21/2024 | GREENWOOD VILLAGE, IL | |
IA | 06/16/2005 - 10/03/2016 | AUBURN, ME | |
B | 05/29/2002 - 10/03/2016 | AUBURN, ME | |
IA | 07/09/2002 - 06/16/2005 | AUBURN, ME | |
B | 03/22/1996 - 05/30/2002 | CHESTERFIELD, MO | |
B | 04/24/1995 - 04/03/1996 | SPRINGFIELD, MA | |
B | 04/24/1995 - 04/03/1996 | NEW YORK, NY |
AUBURN, ME
07/09/2002 - 06/16/2005
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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.