Steven M. Oyer
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 Michael Oyer was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 15 firms and has passed the Series 63, Series 66, Series 65, Series 82TO, Series 7TO, SIE, Series 31 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
May 26, 2023 - January 29, 2024
IGM BROKERAGE
August 15, 2019 - May 26, 2023
BLUE DIAMOND SECURITIES OF AMERICA LLC
October 2, 2015 - February 21, 2018
LAZARD ASSET MANAGEMENT SECURITIES LLC
January 16, 2014 - June 16, 2015
QUASAR DISTRIBUTORS, LLC
May 7, 2013 - June 15, 2015
BROOKFIELD PRIVATE ADVISORS LLC
December 9, 2011 - April 25, 2013
GRAIL SECURITIES, LLC
November 11, 2009 - September 15, 2011
PATRICK CAPITAL MARKETS, LLC
April 21, 2006 - November 28, 2007
J.W. COLE FINANCIAL, INC.
May 2, 2002 - February 28, 2005
STANDARD & POOR'S SECURITIES, INC.
February 8, 1999 - December 12, 2000
UAM FUND DISTRIBUTORS, INC.
February 12, 1997 - February 26, 1997
FUNDS DISTRIBUTOR, LLC
June 11, 1993 - February 8, 1995
NICHOLAS-APPLEGATE SECURITIES LLC
July 29, 1991 - April 5, 1993
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
January 16, 1990 - July 26, 1991
HALL & COMPANY INCORPORATED
September 23, 1983 - January 12, 1988
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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
IGM BROKERAGE
CRD#: 310654 / SEC#: , 8-70633
Contact information
Documents
Red Flags
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