Stephen James Resch

Current Employers

Employment History

• 03/2006 → 10/2017
  National Planning Corporation
  Windsor, CT
• 10/2017 → 12/2023
  Securities America Inc.
  Thompsons Station, TN
• 10/2017 → 12/2023
  Securities America Advisors
  Thompsons Station, TN
• 11/2023 → Present
  Resch Financial Group, Llc
  Thompsons Station, TN

Previous Registrations

• 2017-10-30 → 2023-12-31
  Securities America Advisors, Inc.
  Thompsons Station, TN
• 2006-03-31 → 2017-11-01
  National Planning Corporation
  South Windsor, CT
  Windsor, CT
  Thompsons Station, TN
• 2003-03-10 → 2006-04-03
  Osaic Fs, Inc.
  Windsor, CT
• 1995-06-05 → 2003-03-31
  Polaris Advisory Services Inc
  Windsor, CT

Other Businesses

Name: Insurance Sales Position: Sales Nature: Insurance Sales Investment Related: No Hours: 1 Securities Trading Hours: 0 Start Date: 01/01/1994 Address: 3150 Hazelton Drive, Thompsons Station TN 37179, United States Description: Occasionally sell fixed annuities to existing investment clients. I do not market for this business. Name: Finance of America Position: Wholesale Sales Nature: Wholesale Reverse Mortgage Lending Investment Related: No Hours: 80 Securities Trading Hours: 40 Start Date: 12/01/2014 Address: 8909 S. Yale Avenue, Tulsa OK 74137, United States Description: I wholesale reverse mortgages to banks and mortgage brokers. I have no consumer contact and do not hold an NMLS license. This is a business to business wholesale relationship only.

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-05-16
• S63 Uniform Securities Agent State Law Examination
  1987-07-08