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Detailed Report
Stephen Kenneth Dockham
STEPHEN DOCKHAM
CRD#: 5736865
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 10223 NORTH N C HWY 109
SUITE B
WINSTON SALEM, NC 27107
Registration History
2010201220142016201820202022202420262 FIRMS2010 - Present (15 years)
License(s)

State Registrations

B
Arizona 8/24/2021
B
South Carolina 6/30/2014
B
Florida 9/11/2018
B
Tennessee 1/20/2016
B
Georgia 11/27/2017
B
Texas 3/28/2019
B
New Hampshire 8/7/2014
IA
Texas 4/1/2019
IA
North Carolina 3/1/2010
B
Virginia 8/16/2022
B
North Carolina 3/2/2010
B
West Virginia 4/25/2024
B
Ohio 10/6/2020

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)
10223 NORTH N C HWY 109 SUITE B, WINSTON SALEM, NC 27107
Registered with this firm since 3/1/2010
B
EDWARD JONES (CRD#:250)
10223 NORTH N C HWY 109 SUITE B, WINSTON SALEM, NC 27107
Registered with this firm since 2/16/2010
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.