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Stephen Missett Fired from Equitable Advisors

Stephen Missett (CRD #: 2181380), a broker formerly registered with Equitable Advisors, was fired from that firm, according to his BrokerCheck record, accessed on September 17, 2022. Read on if you have questions about his conduct as a broker.

Discharge from Equitable Advisors

On August 23, 2022, Stephen Missett was fired from Equitable Advisors after allegedly participating in an undisclosed outside business activity where he acted as an agency leader at a third-party insurance company.

FINRA Rule 3270

FINRA Rule 3270 prohibits brokers from participating in business activities outside of their firm without first disclosing it to their firm and receiving approval.

Other business activities

Stephen Missett’s detailed BrokerCheck report lists an unnamed insurance brokerage firm as his only outside business activity.

Tax Liens

From 2016-2018, Stephen Missett was subject to a collective $80,486.85 in tax liens.

Background Information

Stephen Missett has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He has also worked for the following firms:

  • Equitable Advisors (CRD#:6627)
  • Cambridge Investment Research (CRD#:39543)
  • LPL Financial (CRD#:6413)
  • Capital Analysts (CRD#:5478)
  • Mutual Service Corporation (CRD#:4806)
  • New England Securities (CRD#:615)

Kurta Law Can Help

If you worked with Stephen Missett and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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