Stephen Rocco Facella

Current Employers

Employment History

• 05/2009 → 05/2017
  Capital Guardian, Llc
  Belmont, NC
• 05/2009 → 06/2017
  Capital Guardian Wealth Management
  Belmont, NC
• 05/2017 → 09/2018
  Kovack Securities, Inc.
  Fort Lauderdale, FL
• 09/2018 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 09/2018 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 05/2012 → Present
  The Fiduciary Group, Llc
  Ft. Lauderdale, FL

Previous Registrations

• 2018-07-05 → 2018-11-12
  Kovack Advisors, Inc.
  Fort Lauderdale, FL
• 2009-05-14 → 2018-07-13
  Capital Guardian Wealth Management, Llc
  Miami, FL
  Fort Lauderdale, FL
• 2006-10-10 → 2009-05-01
  Raymond James Financial Services, Inc.
  Coral Springs, FL
• 1997-08-19 → 2006-07-28
  A. G. Edwards & Sons, Inc.
  Ft. Lauderdale, FL
  Fort Lauderdale, FL

Other Businesses

1.ESTATE & TRUST SERVICES GROUP LLC, 1489 W PLAMETTO PARK RD #420, BOCA RATON, FL, 7/2010 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 3/YR - 0/TRADING. 2.FINRA, 5200 TOWN CTR CIR #200, BOCA RATON, FL, 1/2011 AS PANELIST/CHAIRPERSON PRESIDING OVER ARBITRATION CASES. NIR - 50/YR - 0/TRADING. 3.THE CENTER FOR FINANCIAL EDUCATION INC, 1301 E BROWARD BLVD 335, FT LAUDERDALE, FL, 1/2018 AS FOUNDER/PRESIDENT. ORGANIZATION IS CURRENTLY DORMANT, INITIALLY SET UP FOR COMMUNITY AWARENESS AND FINANCIAL EDUCATION. NIR - 0 HRS. 4.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 80/MO - 30/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 5.YOUR FIDUCIARY TEAM, LLC, 1301 E BROWARD BLVD STE 335, FT LAUDERDALE, FL, 01/01/19, AS MANAGING MEMBER/FINANCIAL PROFESSIONAL UTILIZING DBA NAME/OFFICE SPACE LEASING.HOLISTIC CONSULTING AND FINANCIAL PLANNING SERVICES, INV REL - 80/WK - 100/TRADING. 6. ST JEROME CHURCH AND SCHOOL, 2601 SW 9TH AVE, FT LAUDERDALE, 11/02/2020, BOARD MEMBER FINANCIAL COUNCIL OF CHURCH AND SCHOOL, 11/02/20, NIR, 2 HR/MO - 0 HR/MO TRADING 7. DOYLE INSURANCE INC, 1301 E BROWARD BLVD, SUITE 335, FT LAUDERDALE FL, 10/2021, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 10 HR/MO - 10 HR/MO TRADING 8. PAYNO_ATTENTION_TOME, 1301 E Broward Blvd, suite 335, Ft Lauderdale FL 33301, United States, 01/03/2023, psuedo-candid 18 second to 56 second entertaining videos, NIR, 5 HR/MO - 0 HR/MO TRADING 9. YOUR FIDUCIARY TEAM, LLC, 701 Westchester Ave, Suite 320E, White Plains NY 10604, United States, 12/2025, Agent, TPA/Pension Services, NIR, 10 HR/MO - 5 HR/MO TRADING

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-08-22

Designations

Other Names

• Stephen R Facella
• Stephen Rocco Facella
• Steve R Facella