Stephen Charles Rao

Current Employers

Employment History

• 05/2017 → 07/2017
  Unemployed
  Oxford, MS
• 08/2013 → 05/2017
  University Of Mississippi
  Oxford, MS
• 05/2017 → 01/2020
  Axa Advisors, Llc
  New York, NY
• 01/2020 → 07/2024
  Purshe Kaplan Sterling Investments, Inc.
  Albany, NY
• 06/2020 → 12/2022
  Thrivent Advisor Network, Llc
  Houston, TX
• 01/2023 → 12/2025
  49 Wealth Management Llc
  Houston, TX
• 07/2024 → 12/2025
  Oakwood Capital Securities, Inc.
  Minneapolis, MN
• 12/2025 → Present
  Providence Capital Llc
  Houston, TX

Previous Registrations

• 2023-01-03 → 2025-11-19
  49 Financial
  Houston, TX
  Austin, TX
  Houston, TX
• 2020-06-23 → 2022-12-31
  Thrivent Advisor Network, Llc
  Houston, TX
  Minneapolis, MN
• 2020-01-31 → 2020-07-02
  Pks Advisory Services, Llc
  Albany, NY
• 2019-03-15 → 2020-01-30
  Equitable Advisors, Llc
  Austin, TX
  Austin, TX
  Austin, TX

Other Businesses

1) Houston Ole Miss Alumni Club; Not Investment Related; Non-Profit Alumni Club; President; 9/10/2022; 10hrs/mo; 0 during trading; overseeing event funding, helping raise donations from alumni, creating community amongst alumni, leading and planning events, interacting with Ole Miss Alumni Association representatives, general networking. 2) Post Oak Little League; Coach; non-investment related; since 1/1/2022; 5840 San Felipe, Houston, TX; 20 hours per month after business hours; Little league baseball coach

Exams

• S66 Uniform Combined State Law Examination
  2019-01-12
• S63 Uniform Securities Agent State Law Examination
  2017-08-03

Other Names

• Stephen Charles Rao
• Stephen Rao