Steven J. Davis
Professional summary
Steven James Davis was barred by the FINRA 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 1985. Prior to being barred, Steven had worked at 4 firms, which includes MONY SECURITIES CORPORATION, MUTUAL OF OMAHA INVESTOR SERVICES INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2001 - October 11, 2004
MONY SECURITIES CORPORATION
October 6, 1995 - June 11, 2001
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 5, 1985 - September 15, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 5, 1985 - September 15, 1995
SIGNATOR INVESTORS, 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
MONY SECURITIES CORPORATION
CRD#: 4386 / SEC#: , 8-15287
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONY FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| BLITZ, HARVEY EUGENE | DIRECTOR | |
| COOLEY, JILL DIANE | CHIEF OPERATING OFFICER; DIRECTOR | 4251752 |
| DANE, EDWARD HAMBLETON | PRESIDENT; DIRECTOR | 2261769 |
| DZIADZIO, RICHARD | DIRECTOR | 4362519 |
| GODOFSKY, MARK DAVID | FINANCIAL PRINCIPAL | 2882741 |
| JONES, ROBERT SEYMOUR JR | DIRECTOR | 261712 |
| ODONNELL, LESLIE TANNER | AML COMPLIANCE OFFICER | 2189109 |
| OLSON, ANTHONY PAUL | CHIEF COMPLIANCE OFFICER | 801048 |
| WRIGHT, ROBERT OAKLEY JR | CHAIRMAN OF THE BOARD; DIRECTOR | 1620043 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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