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Ohio Broker Stephen Pavlich Suspended

Oct 25, 2021 Regulatory Action

Stephen Pavlich (CRD #1794852), a broker and investment adviser with International Assets Advisory, has been suspended by the State of Ohio, according to his BrokerCheck Record accessed on October 18, 2021. If you have any questions regarding Stephen Pavlich’s conduct as a broker, keep reading. 

Stephen Pavlich’s Ohio State Sections 

Ohio alleges that Stephen Pavlich violated Ohio Securities Rule 1301:6-3-19(A)(3), which states that brokers shall not execute a transaction on behalf of an investor without the authority to do so.

Stephen Pavlich’s Ohio salesperson and investment adviser representative license were suspended for 60 days, with 30 days credited for time served and 30 days to be served immediately upon approval of the license. He will also have 12 months of heightened supervision. The suspension ended on September 15, 2021.

Stephen Pavlich Employment Termination

On March 11, 2021, Lincoln Financial Advisors fired Stephen Pavlich following allegations that he altered an agent authorization form and copied/applied a client signature to a fixed indexed annuity allocation form.

Stephen Pavlich Background Information

Stephen Pavlich 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

Stephen Pavlich is a registered broker and investment adviser in Ohio.

Besides International Assets Advisory,  Stephen Pavlich  has worked with the following firms:

  • Lincoln National Pension Insurance Company (CRD#:10293)
  • The Lincoln National Life Insurance Company (CRD#:2580)
  • Lincoln Financial Advisors Corporation (CRD#:3978)

Kurta Law Can Help 

If you have been victimized by Stephen Pavlich, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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.