Best Investors Account Sign in
Inactive

Stephen Leon Harrison

Exeter Financial, LLC

Scottsdale, AZ

Claim This Profile
Current Employers
Exeter Financial, Llc

7001 N. Scottsdale Road Suite 1040, Scottsdale, AZ 85253-3644 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2007-04-05
  • AZ RA
    APPROVED
    Since 2007-04-05

Branch Locations

7001 N. Scottsdale Road Suite 1040, Scottsdale, AZ 85253-3644 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Exeter Financial, Llc Scottsdale AZ 03/2007 Present
Bma Securities Scottsdale AZ 02/2008 Present
  • 03/2007 → Present
    Exeter Financial, Llc
    Scottsdale, AZ
  • 02/2008 → Present
    Bma Securities
    Scottsdale, AZ
Previous Registrations
  • 2006-10-24 → 2007-05-04
    Ogilvie Security Advisors Corporation
    Scottsdale, AZ
  • 2005-05-03 → 2006-10-10
    Fbr Investment Management, Inc.
    Arlington, VA
  • 2003-10-10 → 2005-03-31
    Banc Of America Investment Services, Inc.
    Seattle, WA
  • 2001-01-29 → 2003-10-14
    Northern Trust Bank Fsb
    Seattle, WA
Other Businesses

H2GLOBAL LLC-BUSINESS CONSULTING, MANAGING MEMBER/CONSULTANT, NOT INVESTMENT RELATED. 7001 N. SCOTTSDALE ROAD, SUITE 1055, SCOTTSDALE, AZ 85253, DEC 2007 TO PRESENT, 5 HOURS PER MONTH DURING SECURITIES TRADING HOURS. ZIPSIT, INC.-A TECHNOLOGY COMPANY, ON DEMAND SITTING SERVICE, NOT INVESTMENT RELATED. 7001 N. SCOTTSDALE ROAD, SUITE 1055, SCOTTSDALE AZ. CO-FOUNDER/CEO, JULY 2015 TO PRESENT, 5-10 HOURS PER WEEK, CONFERENCE CALLS AND MEETINGS DURING SECURITIES TRADING HOURS. MANAGER OF SON'S SOCCER TEAM. ZERO COMPENSATION, NOT INVESTMENT RELATED. 1 HOUR/WEEK NOT DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-17
S63 Uniform Securities Agent State Law Examination 1992-07-10
  • S65 Uniform Investment Adviser Law Examination
    1992-07-17
  • S63 Uniform Securities Agent State Law Examination
    1992-07-10
Other Names
  • Stephen Leon Harrison
  • Steve Harrison

View on SEC IAPD

Other Firms

BRIDGELIGHT CAPITAL LLC
MERCER GLOBAL ADVISORS INC.
LPL FINANCIAL LLC
IRONWOOD WEALTH ADVISORS, LLC
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR
CETERA INVESTMENT ADVISERS LLC
FAITH INVESTOR SERVICES
MERIDIAN WEALTH MANAGEMENT, LLC

Other Investors

GARY TODD STRINGER
SHAUN ELIZABETH BRACKEN
KENNETH ROY BLACKBURN
MARC ALAN NORMANN
Susanne T Gibo
PAUL JOSEPH SEIDMAN
JARON DAVID CARMICHAEL
HUSSEIN ELGOHARY

Other Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ
IRONWOOD WEALTH ADVISORS, LLC · SCOTTSDALE, AZ
PAUL MARASCALCO REGISTERED INVESTMENT ADVISOR · SCOTTSDALE, AZ
CETERA INVESTMENT ADVISERS LLC · SCOTTSDALE, AZ
FAITH INVESTOR SERVICES · Scottsdale, AZ
MERIDIAN WEALTH MANAGEMENT, LLC · Scottsdale, AZ

More in Scottsdale, AZ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor