Steven I. Wertman

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CRD#: 1133422

Professional summary

Steven Ira Wertman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Steven had worked at 16 firms, which includes GREELEY SECURITIES INC., MACPEG ROSS O'CONNELL & GOLDABER INC., DONALD & CO. SECURITIES INC., LEVCO SECURITIES CORP., HAMILTON GRANT & COMPANY INC., ICAPITAL MARKETS LLC, UNIVERSAL SECURITIES OF AMERICA INC., BAIRD PATRICK & CO. INC., GREENTREE SECURITIES CORP., BERNARD HEROLD & CO. INC., WEAVER JOHNSON & COMPANYINC., NIELSON AND CLARK INC., CHESLEY AND DUNN INC., FIRST INTERWEST SECURITIES CORPORATION, NORBAY SECURITIES INC., BLINDER ROBINSON & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 14, 1987 - June 7, 1988

GREELEY SECURITIES, INC.

CRD#: 7738

Past

March 31, 1987 - November 3, 1987

MACPEG, ROSS, O'CONNELL & GOLDABER, INC.

CRD#: 8297

Past

March 9, 1987 - March 30, 1987

DONALD & CO. SECURITIES INC.

CRD#: 7776

Past

January 21, 1987 - March 18, 1987

LEVCO SECURITIES CORP.

CRD#: 15483

Past

November 25, 1986 - February 3, 1987

HAMILTON, GRANT & COMPANY, INC.

CRD#: 15348

Past

October 1, 1986 - December 1, 1986

ICAPITAL MARKETS LLC

CRD#: 5209

Past

June 16, 1986 - July 23, 1987

UNIVERSAL SECURITIES OF AMERICA, INC.

CRD#: 11529

Past

April 4, 1986 - June 10, 1986

BAIRD, PATRICK & CO., INC.

CRD#: 1149

Past

August 2, 1985 - April 15, 1986

GREENTREE SECURITIES CORP.

CRD#: 7372

Past

May 24, 1985 - August 7, 1985

BERNARD HEROLD & CO., INC.

CRD#: 6193

Past

April 22, 1985 - May 29, 1985

WEAVER JOHNSON & COMPANY,INC.

CRD#: 14442

Past

November 13, 1984 - May 1, 1985

NIELSON AND CLARK INC.

CRD#: 13508

Past

July 6, 1984 - November 16, 1984

CHESLEY AND DUNN, INC.

CRD#: 8362

Past

April 17, 1984 - June 7, 1984

FIRST INTERWEST SECURITIES CORPORATION

CRD#: 13492

Past

October 11, 1983 - April 25, 1984

NORBAY SECURITIES INC.

CRD#: 5431

Past

July 20, 1983 - October 4, 1983

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Current Firm

GREELEY SECURITIES, INC.

CRD#: 7738 / SEC#: , 8-22377

Cancelled by FINRA on 06/10/1991

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Contact information

Main Address

Mailing Address

Phone number

Established

New York since 11/21/1977

Firm type

Corporation

Fiscal year end

# of Employees

Documents

Red Flags

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Advisor Monitoring

Firm Stability Insights

Steven I. Wertman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MACPEG, ROSS, O'CONNELL & GOLDABER, INC.

DONALD & CO. SECURITIES INC.

LEVCO SECURITIES CORP.

HAMILTON, GRANT & COMPANY, INC.

ICAPITAL MARKETS LLC

UNIVERSAL SECURITIES OF AMERICA, INC.

BAIRD, PATRICK & CO., INC.

GREENTREE SECURITIES CORP.

BERNARD HEROLD & CO., INC.

WEAVER JOHNSON & COMPANY,INC.

NIELSON AND CLARK INC.

CHESLEY AND DUNN, INC.

FIRST INTERWEST SECURITIES CORPORATION

NORBAY SECURITIES INC.

BLINDER, ROBINSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/1984

Series 7

Date: 7/16/1983

Current Firm

GREELEY SECURITIES, INC.

Contact information

Documents

Red Flags

Company Information

GREELEY SECURITIES, INC.

TRUST BUT VERIFY

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