Unclaimed Profile

Stephen Guy Jr Shipp

FOOTHILL SECURITIES, INC.·MOUNTAIN VIEW, California

SIE, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 65, Series 79TO, Series 99TO25 years registeredFOOTHILL SECURITIES, INC.

150 E. DANA STREET, MOUNTAIN VIEW, CA 94041CRD# 1937641Firm CRD# 1027

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen Guy Jr Shipp · MOUNTAIN VIEW, CA

Registration

CRD #1937641 · FOOTHILL SECURITIES, INC. · 25 years registered

Brand Profile

Not yet started

Career History

GENEOS WEALTH MANAGEMENT, INC.

Sep 2017 – present

FOOTHILL SECURITIES, INC.

Jun 2008 – Jun 2016

HALF MOON BAY, CA

GENEOS WEALTH MANAGEMENT, INC.

Dec 2007 – Jun 2008

SAN RAMON, CA

CUE FINANCIAL GROUP, INC.

Dec 2005 – Dec 2007

SAUSALITO, CA

FINANCIAL NETWORK INVESTMENT CORPORATION

Jun 2001 – Aug 2005

PLEASANT HILL, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 65

Series 79TO

Series 99TO

Registration record

First registered · June 4, 2001

Years registered · 25

Disclosure History

2018Regulatory·Final

2014Regulatory·Final

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

FOOTHILL SECURITIES, INC.

CRD 1027 · SEC 801-57293

AUM

$1.2B

Regulatory assets under management

Employees

268

6,953 client accounts

Services offered by FOOTHILL SECURITIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FOOTHILL SECURITIES, INC. →

Introduction

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Frequently Asked Questions

What services does Stephen Guy Jr Shipp offer?

Stephen Guy Jr Shipp specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MOUNTAIN VIEW, California for a consultation.

What are Stephen Guy Jr Shipp's credentials?

Stephen Guy Jr Shipp is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Guy Jr Shipp located?

Stephen Guy Jr Shipp is based in MOUNTAIN VIEW, California, working with FOOTHILL SECURITIES, INC.. Their office serves clients in the MOUNTAIN VIEW metropolitan area and surrounding communities.

How does Stephen Guy Jr Shipp charge for services?

Stephen Guy Jr Shipp's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, other: third party asset management fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FOOTHILL SECURITIES, INC.?

FOOTHILL SECURITIES, INC. has approximately 268 employees and manages $1.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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