Steven Freifeld
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 Freifeld, who also goes by Steven Freifeld, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 19 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 5, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2018 - August 7, 2020
WESTPARK CAPITAL, INC.
November 17, 2014 - October 9, 2018
DAWSON JAMES SECURITIES, INC.
February 1, 2010 - November 20, 2014
NATIONAL SECURITIES CORPORATION
March 31, 2009 - January 22, 2010
WILMINGTON CAPITAL SECURITIES, LLC
February 4, 2005 - March 20, 2009
DAWSON JAMES SECURITIES, INC.
June 13, 2003 - November 2, 2004
BASELINE SECURITIES, INC.
June 1, 2001 - March 21, 2003
JANSSEN PARTNERS, INC.
December 4, 1998 - June 12, 2001
LABRANCHE FINANCIAL SERVICES, LLC
July 2, 1997 - November 2, 1998
TRAUTMAN WASSERMAN & COMPANY, INC.
August 23, 1996 - July 3, 1997
RICKEL & ASSOCIATES, INC.
January 16, 1995 - August 8, 1996
JWGENESIS SECURITIES, INC.
November 25, 1994 - December 23, 1994
JOSEPHTHAL & CO., INC.
February 25, 1994 - October 26, 1994
D. BLECH & COMPANY, INCORPORATED
October 28, 1991 - February 9, 1994
REICH & CO., INC.
March 21, 1991 - November 5, 1991
COMMONWEALTH ASSOCIATES
September 13, 1990 - March 27, 1991
BLUESTONE CAPITAL CORP.
June 15, 1988 - November 5, 1991
COMMONWEALTH ASSOCIATES
September 5, 1984 - September 24, 1990
D. H. BLAIR & CO., INC.
October 13, 1983 - September 10, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
October 4, 1983 - October 19, 1983
CIBC WORLD MARKETS CORP.
March 30, 1982 - September 30, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
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
Series 7TO
Date: 2/23/2024
General Securities Representative ExaminationSeries 79TO
Date: 2/23/2024
Investment Banking Registered Representative ExaminationSeries 5
Date: 4/27/1982
Interest Rate Options ExaminationSeries 8
Date: 4/26/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
