Stephen G. Malekian
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 Gregory Malekian was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2017 - March 2, 2020
TFS DERIVATIVES LLC
June 10, 2016 - January 4, 2018
TRADITION SECURITIES AND DERIVATIVES LLC
July 7, 2011 - July 24, 2014
BARCLAYS CAPITAL INC.
November 28, 2001 - May 11, 2010
CITICORP SECURITIES SERVICES, INC.
November 5, 1998 - August 3, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
November 28, 1997 - May 11, 2010
CITIGROUP GLOBAL MARKETS INC.
March 22, 1988 - September 1, 1998
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TFS DERIVATIVES LLC
CRD#: 30395 / SEC#: , 8-44903
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADITION AMERICA HOLDINGS INC. ("TAH") | OWNER | |
| BRISEBOIS, FRANCOIS | MANAGER | 6613329 |
| LEIBOWITZ, MICHAEL SAUL MR. | MANAGER | |
| MEHAN, JEFFREY LELAND | PRESIDENT | 1053445 |
| MEROLA, DAVID SCOTT | CHIEF COMPLIANCE OFFICER | 3154976 |
| RICCIARDI, JUDITH ANN | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 2260346 |
| ROSENSHEIN, LARRY NMN | MANAGER & COO | |
| WOSTYN, WILLIAM PIERRE | MANAGER | 5608164 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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