Stephen R. Levitan

OBERON SECURITIES

New York, NY 10022

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CRD#: 1015339

Professional summary

Stephen Richard Levitan, CFA is a registered financial professional currently at OBERON SECURITIES, LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1981. Stephen has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 55, Series 16, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

March 8, 2024 - Present

OBERON SECURITIES, LLC

Office #1: 445 Park Avenue, Suite 4b,, New York, NY 10022

CRD#: 132598

New York, NY

Past

June 1, 2021 - January 31, 2023

STEPHENS

CRD#: 3496

NEW YORK, NY

Past

November 9, 2005 - May 9, 2008

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 18, 2002 - February 29, 2008

RBC CAPITAL MARKETS CORPORATION

CRD#: 6579

NEW YORK, NY

Past

January 17, 2001 - November 15, 2002

COMMERZBANK CAPITAL MARKETS CORP.

CRD#: 21787

NEW YORK, NY

Past

August 11, 1998 - November 29, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 1, 1997 - May 20, 1998

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

CRD#: 24074

NEW YORK, NY

Past

April 6, 1988 - December 23, 1996

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

October 22, 1981 - May 8, 1986

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(3/8/2024)

New York
(3/8/2024)

Exams

State Security Law Exam

Series 63

Date: 6/28/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 6/1/2021

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 5/14/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/12/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 16

Date: 8/26/1992

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OBERON SECURITIES, LLC

CRD#: 132598 / SEC#: , 8-66607

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

445 Park Avenue, Suite 4b, New York, NY 10022

Mailing Address

445 Park Avenue, Suite 4b, New York, NY 10022

Phone number

(212) 386-7080

Established

New York since 04/11/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
OBERON MANAGEMENT, LLC	MEMBER
BRESLAWSKY, ADAM SCOTT	MANAGER	2522542
EPSTEIN, ELAD	FINOP, MANAGER, ACO	2731183
SCHMIDT, NICOLE ALEXANDRA	CCO, MANAGER	2686117

Red Flags

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Stephen R. Levitan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Richard Levitan's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPHENS

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS CORPORATION

COMMERZBANK CAPITAL MARKETS CORP.

UBS FINANCIAL SERVICES INC.

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

CIBC WORLD MARKETS CORP.

DREXEL BURNHAM LAMBERT INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/28/2021

Series 79TO

Date: 6/1/2021

SIE

Date: 5/14/2021

Series 55

Date: 12/12/2002

Series 16

Date: 8/26/1992

Series 7

Date: 10/17/1981

Series 24

Date: 5/2/1995

FINRA

Current Firm

OBERON SECURITIES, LLC

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OBERON SECURITIES, LLC

TRUST BUT VERIFY

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