Stephen Kareta, financial advisor Reno NV
48 score

Stephen Kareta

CRD Number: 1110801
Current Firm: Foothill Securities, Inc.

Stephen Kareta (CRD# 1110801) is an Investment Advisor Representative working at Foothill Securities, Inc. in Reno, NV and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Foothill Securities, Inc. Santa Clara, CA Feb 2007 - Current 9
Winderstick North Andover, MA Jul 2006 - Current 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1983
S66 NASAA Uniform Combined State Law Examination Aug 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Stephen R. Kareta
Phone Number: 650-625-9701
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    1,158
    MILLIONS
  • Total Number of Accounts
    6,953
    ACCOUNTS
  • Average Account Value
    $166,522
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
Types of Clients
Registered States

AK, AZ, CA, CO, DE, FL, GA, HI, ID, IL, IN, LA, MA, MD, MI, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, TN, TX, UT, WA, WI

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BADGES
48

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