Stephen Theodore Gladstone

Current Employers

Gladstone Financial Llc

Breckenridge, CO • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2013-05-24
CO	RA	APPROVED	2013-05-09

CA RA
APPROVED

Since 2013-05-24
CO RA
APPROVED

Since 2013-05-09

Branch Locations

Breckenridge, CO • 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

Organization	City	State	From	To
Gladstone Financial, Llc	Breckenridge	CO	02/2013	Present

02/2013 → Present

Gladstone Financial, Llc

Breckenridge, CO

Previous Registrations

2006-07-24 → 2013-04-10

Lpl Financial Llc

Nashville, TN

Fort Mill, SC

Breckenridge, CO
2004-10-22 → 2006-07-07

Morgan Stanley Dw Inc.

Newport Beach, CA

Newport Bch, CA
1997-07-08 → 2004-11-01

Citigroup Global Markets Inc.

Long Beach, CA

Other Businesses

1.05/30/2007; STEPHEN GLADSTONE IS ALSO SELF EMPLOYED AS A PROFESSIONAL MUSICIAN, NOT INVESTMENT RELATED, BRECKENRIDGE, CO. HE SPENDS LESS THAN 5% OF HIS TIME ON THIS ACTIVITY.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-10-17
S65	Uniform Investment Adviser Law Examination	1994-10-17

S63 Uniform Securities Agent State Law Examination

1994-10-17
S65 Uniform Investment Adviser Law Examination

1994-10-17

Other Names

Steve Theodore Gladstone
Stephen T Gladstone

View on SEC IAPD