# Stephen LeRoy Ketterling

Stephen LeRoy Ketterling is an investment adviser representative (IAR) with state registration records since 2000, appearing at 6 firms. Currently registered with 406 PM LLC.

## Registration history (7)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [406 PM LLC](https://search.stillhousedata.com/firm/339835) | 2026-01-22 | present | Yes |
| [SYNTROPY WEALTH MANAGEMENT LLC](https://search.stillhousedata.com/firm/293062) | 2022-03-16 | 2023-06-06 | — |
| [MORGAN STANLEY SMITH BARNEY LLC](https://search.stillhousedata.com/firm/149777) | 2019-10-01 | 2021-04-21 | — |
| [OPTIMA CAPITAL MANAGEMENT, INC.](https://search.stillhousedata.com/firm/132775) | 2010-09-16 | 2012-04-11 | — |
| [STOCKMAN WEALTH MANAGEMENT, INC.](https://search.stillhousedata.com/firm/122166) | 2009-02-05 | 2010-03-24 | — |
| [OPTIMA CAPITAL MANAGEMENT, INC.](https://search.stillhousedata.com/firm/132775) | 2004-09-29 | 2009-02-06 | — |
| [CHARLES SCHWAB & CO., INC.](https://search.stillhousedata.com/firm/5393) | 2000-08-29 | 2004-08-06 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/2338350)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/2338350.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.