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Steven Phillip Sitkowski

CRD# 1031131·Registered 1982 - 2015
Previously Registered: Being a previously registered professional could mean that Steven 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.

Professional Summary

Steven Phillip Sitkowski, who also goes by Steven Phillip Sakowski, Steven Philip Sitkowski, was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1982 - 2015. Steven had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Steven Phillip Sakowski, Steven Philip Sitkowski

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

DELTA SECURITIES COMPANY LLC·CRD# 145511
BD
Orlando, FL
January 1, 2015 - June 17, 2015
EMPIRE FINANCIAL GROUP, INC.·CRD# 28759
BD
Longwood, FL
March 14, 2000 - May 29, 2003
NELSON SECURITIES,INC.·CRD# 14377
BD
Spokane, WA
April 27, 1993 - June 23, 1994
PREMIERETRADE SECURITIES, INC.·CRD# 16776
BD
Altamonte Springs, FL
September 9, 1987 - July 8, 1992
SOUTHMARK FINANCIAL SERVICES, INC.·CRD# 6518
BD
August 1, 1984 - January 27, 1988
GRIFFIN, BLAIR & CO., INCORPORATED·CRD# 13126
BD
November 14, 1983 - August 9, 1984
LPL FINANCIAL LLC·CRD# 6413
BD
March 30, 1982 - August 2, 1984

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Current Firm

DS
DELTA SECURITIES COMPANY LLC

79 CAPITAL SECURITIES, LLC | DELTA SECURITIES COMPANY LLC | CAPITAL INNOVATIONS SECURITIES, LLC

CRD#: 145511 / SEC#: 8-67733
BD
Terminated by SEC on 02/14/2017

Contact Information

Established

Delaware since 08/21/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
DELTA SECURITIES GROUP LLCOWNER—
LOW SPARK CAPITAL, LLCOWNER—
TWH VENTURES, LLCOWNER—
NICHOLSON, MYRA PEARLEPRESIDENT, CCO, FINOP2740029

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1999About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1993About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2015About the SIE exam

Series 82 — Limited Representative-Private Securities Offerings

Passed Dec 2014About the Series 82 exam

Series 7 — General Securities Representative Examination

Passed Nov 1999About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Dec 1999About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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