Steven D. Blum
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 Douglas Blum was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 16 firms and has passed the Series 66, Series 63, SIE 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
July 26, 2013 - July 24, 2019
HARRISDIRECT LLC
July 15, 2013 - July 24, 2019
E*TRADE SECURITIES LLC
September 19, 2012 - July 10, 2013
SANTANDER SECURITIES LLC
September 19, 2012 - July 10, 2013
SANTANDER SECURITIES LLC
May 31, 2012 - September 19, 2012
LPL FINANCIAL LLC
May 31, 2012 - September 19, 2012
LPL FINANCIAL LLC
September 28, 2011 - May 18, 2012
PNC WEALTH MANAGEMENT LLC
September 28, 2011 - May 18, 2012
PNC WEALTH MANAGEMENT LLC
October 7, 2010 - September 8, 2011
TD AMERITRADE, INC.
October 7, 2010 - September 8, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 20, 2010 - September 8, 2011
TD AMERITRADE, INC.
January 1, 2005 - March 16, 2010
HSBC SECURITIES (USA) INC.
June 3, 1999 - January 1, 2005
HSBC BROKERAGE (USA) INC.
April 8, 1997 - October 7, 1998
METROPOLITAN LIFE INSURANCE COMPANY
April 8, 1997 - October 7, 1998
MSI FINANCIAL SERVICES, INC.
June 3, 1996 - January 4, 1997
CITIGROUP GLOBAL MARKETS INC.
July 7, 1994 - May 31, 1996
FLEET ENTERPRISES, INC.
September 15, 1993 - May 25, 1994
UJB DISCOUNT BROKERAGE CO.
August 20, 1991 - February 26, 1993
UJB DISCOUNT BROKERAGE CO.
August 12, 1986 - August 21, 1989
UJB DISCOUNT BROKERAGE CO.
August 24, 1984 - November 1, 1985
HARMON AMERICAN SECURITIES COMPANY, L.P.
September 22, 1983 - May 11, 1984
UBS FINANCIAL SERVICES 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
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
