Steven Stratton has been an investment adviser representative at Cornerstone Securities since February 2025, and is not listed among the firm’s executive officers or direct owners.
Cornerstone Securities LLC is an Overland Park, KS firm with $210M under management, 900 clients and 10 advisers across 4 offices, as of its September 2026 filing.
Steven Stratton’s longest registration was 9 years at Cambridge Investment Research Advisors, Inc. (2006–2015). Before joining Cornerstone Securities in 2025, Steven Stratton was registered through Planmember Securities Corporation and Cambridge Investment Research Advisors, Inc.
- Cornerstone Securities LLCCurrent– present · 1 yearShady Cove, OR · Adviser representative · Firm CRD 140379
- Planmember Securities Corporation– · 2 yearsShady Cove, OR · Adviser representative · Firm CRD 11869
- Cambridge Investment Research Advisors, Inc.– · 9 yearsSan Martin, CA · Adviser representative · Firm CRD 134139
- Tower Square Securities, Inc.– · 2 yearsSan Jose, CA · Adviser representative · Firm CRD 833
- Integrated Financial & Insurance Services– · 1 yearSan Jose, CA · Adviser representative · Firm CRD 123947
- WS Griffith Securities, Inc.– · 1 yearSan Jose, CA · Adviser representative · Firm CRD 10410
- Park Avenue Securities LLC– · 1 yearSan Jose, CA · Adviser representative · Firm CRD 46173
Investment adviser representative registrations
Steven Stratton is registered as an investment adviser representative in 2 states. Each was approved in February 2025.
- CaliforniaSince 4 February 2025
- OregonSince 4 February 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 1 August 2001 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 March 1996 |
| Series 7 | General Securities Representative Examination | 21 September 1985 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Michael Stratton
- CRD
- 1368111
- Firm
- Cornerstone Securities · CRD 140379
- Office
- Shady Cove, OR
- Registration
- Investment adviser registration
- In the industry since
- October 1987
- Disciplinary history
- Not yet shown here · SEC record
Where does Steven Stratton work?
Steven Stratton is an investment adviser representative registered through Cornerstone Securities LLC since February 2025, and is not listed among the firm’s executive officers or direct owners.
Is Steven Stratton a financial advisor?
Yes. Steven Stratton has a current investment-adviser registration in California and Oregon, through Cornerstone Securities since February 2025.
How many years of experience does Steven Stratton have?
Steven Stratton has 39 years in the financial industry, since October 1987, across 7 adviser firms.
What exams has Steven Stratton passed?
Steven Stratton has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in September 1985. FINRA credited Steven Stratton with the SIE, which began in October 2018.
Where did Steven Stratton work before Cornerstone Securities?
Before Cornerstone Securities, Steven Stratton was registered through Planmember Securities Corporation, October 2017 to November 2019; Cambridge Investment Research Advisors, Inc., June 2006 to November 2015; Tower Square Securities, Inc., June 2004 to July 2006; Integrated Financial & Insurance Services, February 2003 to September 2004; WS Griffith Securities, Inc., February 2003 to June 2004; Park Avenue Securities LLC, March 2001 to February 2003.
Where is Steven Stratton based?
Steven Stratton’s registered office is in Shady Cove, OR.
Is Steven Stratton registered with FINRA?
No. Steven Stratton has no current broker registration.
How can I verify Steven Stratton’s record?
Search CRD 1368111 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Stratton’s full registration record.