Steven R. Gumins

SILVER LEAF PARTNERS

New York, NY 10019

Some features on this profile are disabled

CRD#: 1025841

Professional summary

Steven Ross Gumins is a registered financial professional currently at SILVER LEAF PARTNERS, LLC located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1981. Steven has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 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

Click below to view Steven Ross Gumins's CRS (Customer Relationship Summary).

Certified licenses

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

None

Experience

Current

October 5, 2009 - Present

SILVER LEAF PARTNERS, LLC

Office #1: 3 Columbus Circle Floor 15, New York, NY 10019

CRD#: 126694

New York, NY

Past

July 2, 2007 - March 3, 2009

ALARIS TRADING PARTNERS, LLC

CRD#: 126996

GARDEN CITY, NY

Past

January 31, 2005 - July 17, 2006

CAPSTONE INVESTMENTS

CRD#: 41400

SANTA BARBARA, CA

Past

August 12, 2002 - September 14, 2006

ATHENS CAPITAL MANAGEMENT LLC

RIA

CRD#: 120821

SANTA BARBARA, CA

Past

January 4, 1999 - February 2, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

December 14, 1993 - January 9, 1999

AMERICAN EASTERN SECURITIES, INC.

CRD#: 25621

LOS ANGELES, CA

Past

October 8, 1993 - November 23, 1993

C. M. BLAIR, W. O. FOSTER & CO., INC.

CRD#: 6501

TOLUCA LAKE, CA

Past

May 4, 1987 - November 18, 1992

THE TAGGART COMPANY LTD.

CRD#: 10636

BEVERLY HILLS, CA

Past

October 9, 1984 - November 1, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 24, 1981 - October 8, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

California
(10/5/2009)

New York
(10/5/2009)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/22/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/10/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/27/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SILVER LEAF PARTNERS, LLC

CRD#: 126694 / SEC#: , 8-65902

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3 Columbus Circle Floor 15, New York, NY 10019

Mailing Address

3 Columbus Circle Floor 15, New York, NY 10019

Phone number

(212) 632-8421

Established

New York since 01/15/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KHAN, M. FYZUL	CEO/CCO/MANAGING MEMBER	3103833
LESHER, JAMES ELAM	POO	1044046
TAO, BING QIN	FINOP/PFO	6253793

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven R. Gumins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Ross Gumins's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALARIS TRADING PARTNERS, LLC

CAPSTONE INVESTMENTS

ATHENS CAPITAL MANAGEMENT LLC

ROUND HILL SECURITIES, INC.

AMERICAN EASTERN SECURITIES, INC.

C. M. BLAIR, W. O. FOSTER & CO., INC.

THE TAGGART COMPANY LTD.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 4/22/2002

Series 63

Date: 2/10/1982

SIE

Date: 10/1/2018

Series 3

Date: 3/27/1992

Series 7

Date: 12/19/1981

FINRA

Current Firm

SILVER LEAF PARTNERS, LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SILVER LEAF PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors