Steven A. Kriegsman
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 Arthur Kriegsman, who also goes by Steve Kriegsman, 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 66, Series 63, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2012 - March 20, 2013
OBEX SECURITIES LLC
December 12, 2011 - December 31, 2015
KRIEGSMAN CAPITAL ADVISORS, LLC
April 3, 2009 - August 22, 2011
KRIEGSMAN CAPITAL ADVISORS, LLC
March 29, 2007 - December 31, 2008
KRIEGSMAN CAPITAL ADVISORS, LLC
April 13, 2005 - December 31, 2005
KRIEGSMAN CAPITAL ADVISORS, LLC
January 8, 2004 - February 11, 2011
QA3 FINANCIAL LLC
November 11, 2003 - February 11, 2011
QA3 FINANCIAL CORP.
November 19, 2001 - November 3, 2003
FINANCIAL WEST GROUP
October 1, 2001 - November 3, 2003
FINANCIAL WEST GROUP
October 16, 1991 - December 31, 1991
CONTINENTAL BROKER-DEALER CORP.
March 30, 1987 - October 12, 1988
FINANCIAL PLACEMENT INTERNATIONAL, INC.
January 15, 1987 - May 7, 1987
INVESTACORP, INC.
October 15, 1986 - December 22, 1986
INVESTACORP, INC.
July 15, 1986 - August 18, 1988
NETWORK EQUITIES, INC.
October 11, 1985 - May 22, 1986
FIRST AMERIGROUP SECURITIES, INC.
May 24, 1984 - September 30, 1985
INVESTACORP, INC.
October 5, 1982 - June 5, 1984
NETWORK EQUITIES, 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
OBEX SECURITIES LLC
CRD#: 120002 / SEC#: , 8-65242
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
