Steven A. Segal
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 Arnold Segal was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 7 firms and has passed the Series 63, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2005 - October 2, 2006
JAS SECURITIES, LLC
May 16, 1986 - November 24, 1987
MORGAN STANLEY DW INC.
July 29, 1985 - February 19, 1986
SUTRO & CO. INCORPORATED
November 27, 1984 - July 25, 1985
CIBC WORLD MARKETS CORP.
March 21, 1983 - August 9, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
September 27, 1982 - April 11, 1983
UBS FINANCIAL SERVICES INC.
March 30, 1982 - September 21, 1982
BROADCHILD SECURITIES CORP.
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
JAS SECURITIES, LLC
CRD#: 41804 / SEC#: , 8-49584
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEGAL, STEVEN ARNOLD | MANAGING MEMBER | |
| SMUKLER, ANDREW MARK | MANAGING MEMBER | 1762254 |
Disclosures
| Regulatory Event | 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.
