Stephen Darrell Moore

Stone Securities INC.

44 Years of Experience

3 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment Management

Stone Securities INC.

Compensation

Fee-Only (AUM)

Firm Size

4 advisors

Number of Clients

100 clients

Average Client Portfolio

$622K average

Assets Under Management

$62.2M

Location

281 E. Grove St, Clarks Green, PA, 18411

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History

Regulatory History (3)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

September 2015

Settled

Customer Dispute

August 2015

Settled

Customer Dispute

June 2015

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Stephen receives rental income as a building owner, dedicating minimal time. He also spends minimal time on fixed insurance and a non-profit website.

Employment History

Current Registrations

Stone Securities INC.

June 2012 - Present · 13 yrs 8 mos

Leigh Baldwin & CO., LLC

September 1999 - Present · 26 yrs 5 mos

Leigh Baldwin & CO., LLCBroker

September 1999 - Present · 26 yrs 5 mos

Previous Registrations

Huss Services, INC.Broker

February 2004 - October 2010 · 6 yrs 8 mos

Stone Securities, INC

December 2003 - December 2006 · 3 yrs

Prudential Securities IncorporatedBroker

February 1997 - September 1999 · 2 yrs 7 mos

Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker

July 1994 - February 1997 · 2 yrs 7 mos

Wheat, First Securities, INC.Broker

January 1991 - July 1994 · 3 yrs 6 mos

Butcher & Singer INC.Broker

October 1990 - January 1991 · 3 mos

Dean Witter Reynolds INC.Broker

February 1981 - October 1990 · 9 yrs 8 mos

First Jersey Securities, INC.Broker

December 1980 - April 1981 · 4 mos

State Registrations15 states

CTDEFLGAMAMDMINCNHNJNYPATXVAWY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.