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Detailed Report
Stephen Lewis Fordham V
STEPHEN L FORDHAM V, STEPHEN L FORDHAM, STEPHEN LEWIS FORDHAM, STEPHEN FORDHAM
CRD#: 4241565
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 211 EAST SIX FORKS ROAD
SUITE 115
RALEIGH, NC 27609
Registration History
20082010201220142016201820202022202420262 FIRMS2011 - Present (13 years)BMORGAN STANLEY & CO. INCORPORATED (CRD# 8209)2010 - 2011 (<1 year)BUBS SECURITIES LLC (CRD# 7654)2007 - 2010 (2 years)
License(s)

State Registrations

B
Arkansas 12/8/2020
B
New Jersey 11/25/2014
B
California 2/21/2012
B
North Carolina 10/5/2011
B
Colorado 6/7/2012
IA
North Carolina 10/5/2011
B
Florida 8/16/2013
B
Ohio 8/30/2022
B
Georgia 6/7/2012
B
Pennsylvania 3/29/2019
B
Maine 3/15/2022
B
Texas 4/5/2013
B
Missouri 6/7/2012
IA
Texas 2/20/2019
B
Nevada 2/27/2025
B
Virginia 6/7/2012

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
211 EAST SIX FORKS ROAD SUITE 115, RALEIGH, NC 27609
Registered with this firm since 10/5/2011
B
EDWARD JONES (CRD#:250)
211 EAST SIX FORKS ROAD SUITE 115, RALEIGH, NC 27609
Registered with this firm since 10/3/2011
Previous Registration(s)
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B
 05/20/2010 - 03/15/2011 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) NEW YORK, NY
B
 10/10/2007 - 04/29/2010 UBS SECURITIES LLC (CRD#:7654) 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.