Stephen J. Von Bargen
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.
Stephen John Von Bargen, who also goes by Stephen John Vonbargen, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1983. Stephen had worked at 6 firms and has passed the Series 55 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
June 30, 2011 - February 28, 2012
ECHOTRADE LLC
May 3, 2002 - December 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2000 - October 22, 2002
HERZOG, HEINE, GEDULD, LLC
June 5, 1997 - February 24, 2000
CIBC WORLD MARKETS CORP.
August 1, 1995 - June 4, 1997
CANACCORD GENUITY SECURITIES LLC
March 1, 1989 - July 18, 1995
HERZOG, HEINE, GEDULD, LLC
June 22, 1983 - August 30, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 12/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
ECHOTRADE LLC
CRD#: 42239 / SEC#: , 8-49764
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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