Steven J. Sogard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Jeffrey Sogard was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2005 - July 25, 2007
BROOKSTREET SECURITIES CORPORATION
March 15, 2000 - April 22, 2003
FOX & COMPANY INVESTMENTS INC.
November 18, 1997 - March 15, 2000
WESTAMERICA INVESTMENT GROUP
October 17, 1997 - November 19, 1997
JOSEPH DILLON & COMPANY INC.
October 13, 1994 - August 7, 1997
CORTLANDT CAPITAL CORPORATION
May 7, 1992 - October 18, 1994
AMERINATIONAL FINANCIAL SERVICES, INC.
January 1, 1989 - February 28, 1992
CENPAC SECURITIES CORP.
June 16, 1988 - December 22, 1988
HIBBARD BROWN & CO., INC.
February 23, 1987 - May 31, 1988
SHERWOOD CAPITAL, INC.
March 30, 1982 - February 10, 1987
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
