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Detailed Report
STEPHEN OVERTON
CRD#: 4271240
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 4030 W BOY SCOUT BLVD
STE 300
TAMPA, FL 33607-5713
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2004 (3 years)2 FIRMS2013 - 2019 (6 years)2 FIRMS2019 - Present (5 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2004 - 2013 (9 years)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - 2013 (4 years)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2004 - 2009 (5 years)
License(s)

State Registrations

B
Alabama 12/22/2021
B
Nevada 11/11/2019
B
Arizona 10/25/2019
B
New Hampshire 11/11/2022
B
California 10/25/2019
B
New Jersey 12/22/2021
B
Colorado 1/12/2024
B
New Mexico 12/22/2021
B
Connecticut 10/25/2019
B
New York 1/2/2020
B
Florida 10/25/2019
B
North Carolina 1/15/2021
IA
Florida 10/28/2019
B
North Dakota 12/22/2021
B
Georgia 10/25/2019
B
Ohio 10/25/2019
B
Illinois 12/22/2021
B
Oklahoma 10/25/2019
B
Iowa 12/22/2021
B
Pennsylvania 12/22/2021
B
Kentucky 12/22/2021
B
South Carolina 10/25/2019
B
Louisiana 11/11/2024
B
Tennessee 10/25/2019
B
Maryland 10/25/2019
B
Texas 10/25/2019
B
Massachusetts 4/1/2022
IA
Texas 10/25/2019
B
Michigan 10/25/2019
B
Virginia 10/25/2019
B
Minnesota 12/22/2021
B
Washington 12/20/2022
B
Missouri 12/22/2021
B
Wisconsin 12/22/2021

SRO Registrations

B
 FINRA

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
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
4030 W BOY SCOUT BLVD STE 300, TAMPA, FL 33607-5713
1517 Sun City Center Plz Ste A, Sun City Center, FL 33573
Registered with this firm since 10/25/2019
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
4030 W BOY SCOUT BLVD STE 300, TAMPA, FL 33607-5713
1517 Sun City Center Plz Ste A, Sun City Center, FL 33573
Registered with this firm since 10/25/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/24/2013 - 10/28/2019 MORGAN STANLEY (CRD#:149777) TAMPA, FL
B
 09/12/2013 - 10/28/2019 MORGAN STANLEY (CRD#:149777) TAMPA, FL
IA
 05/27/2009 - 09/13/2013 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) LUTZ, FL
B
 07/01/2004 - 09/13/2013 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) LUTZ, FL
IA
 07/09/2004 - 10/10/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) LUTZ, FL
IA
 11/13/2000 - 07/23/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) TAMPA, FL
B
 11/09/2000 - 07/23/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
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.