Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2008 (3 years)2 FIRMS2008 - 2011 (3 years)2 FIRMS2019 - 2022 (2 years)IAFIRST STEP WEALTH PLANNING (CRD# 317527)2022 - Present (3 years)BRAFFERTY CAPITAL MARKETS, LLC (CRD# 23682)2016 - 2018 (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2011 - 2016 (4 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - 2005 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2002 - 2004 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1999 - 2002 (3 years)IAORIGIN FINANCIAL (CRD# 305353)2022 - 2023 (<1 year)IAWALTHAUSEN & CO., LLC (CRD# 144996)2017 - 2018 (1 year)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2013 - 2016 (2 years)
Disclosure(s)
View By:
5/27/2016
Customer Dispute
Denied
License(s)

State Registrations

IA
New York 1/14/2022
Current Registration(s)
IA
FIRST STEP WEALTH PLANNING (CRD#:317527)
WILTON, NY
Registered with this firm since 1/14/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/18/2022 - 08/07/2023 ORIGIN FINANCIAL (CRD#:305353) WILTON, NY
IA
 05/01/2019 - 01/27/2022 MORGAN STANLEY (CRD#:149777) SARATOGA SPRINGS, NY
B
 04/30/2019 - 01/27/2022 MORGAN STANLEY (CRD#:149777) SARATOGA SPRINGS, NY
IA
 05/15/2017 - 12/18/2018 WALTHAUSEN & CO., LLC (CRD#:144996) MALTA, NY
B
 10/18/2016 - 12/12/2018 RAFFERTY CAPITAL MARKETS, LLC (CRD#:23682) GARDEN CITY, NY
IA
 11/13/2013 - 05/25/2016 STRATEGIC ADVISERS, INC. (CRD#:104555) ALBANY, NY
B
 12/07/2011 - 05/19/2016 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) ALBANY, NY
IA
 10/21/2008 - 11/15/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
B
 10/15/2008 - 11/15/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) NEW YORK, NY
IA
 11/21/2005 - 09/16/2008 CHARLES SCHWAB & CO., INC. (CRD#:5393) ALBANY, NY
B
 09/22/2005 - 09/16/2008 CHARLES SCHWAB & CO., INC. (CRD#:5393) ALBANY, NY
B
 09/24/2004 - 09/02/2005 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 12/09/2002 - 09/28/2004 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
 12/07/1999 - 12/02/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.