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Inactive

Stephen Leroy Ketterling

406 Pm

Billings, MT

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Current Employers
406 Pm

Billings, MT • United States

Current Registrations

AuthorityCategoryStatusDate
MT RA APPROVED 2026-01-22
  • MT RA
    APPROVED
    Since 2026-01-22

Branch Locations

Billings, MT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Interstate Bank Billings MT 01/2012 03/2019
Unemployed Billings MT 03/2019 08/2019
Morgan Stanley Billings MT 08/2019 04/2021
Morgan Stanley Private Bank, N.A. New York NY 08/2019 04/2021
Unemployed Denver CO 05/2021 12/2021
Syntropy Wealth Management Austin TX 01/2022 12/2022
406 Pm Llc Denver CO 12/2021 Present
  • 01/2012 → 03/2019
    First Interstate Bank
    Billings, MT
  • 03/2019 → 08/2019
    Unemployed
    Billings, MT
  • 08/2019 → 04/2021
    Billings, MT
  • 08/2019 → 04/2021
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 05/2021 → 12/2021
    Unemployed
    Denver, CO
  • 01/2022 → 12/2022
    Syntropy Wealth Management
    Austin, TX
  • 12/2021 → Present
    406 Pm Llc
    Denver, CO
Previous Registrations
Other Businesses

Lave, LLC is a non-investment related business that operates a laundry service business. The business address is: 5469 S. Curtice St., Unit I, Littleton, CO 80120. Steve is the sole owner and Managing Member of the company which was formed in April 2021. He spends approximately 40 hours/month on this business, none of which are during securities trading hours. He is responsible for the overall direction and management of the business.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-10
S63 Uniform Securities Agent State Law Examination 1998-06-09
  • S66 Uniform Combined State Law Examination
    2019-10-10
  • S63 Uniform Securities Agent State Law Examination
    1998-06-09
Designations
Other Names
  • Steve Ketterling

View on SEC IAPD

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