Steven H. Bloom
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 Harris Bloom, who also goes by Steven H Bloom, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 2 firms and has passed the Series 63, Series 31, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2013 - December 12, 2013
BUTLER CAPITAL PARTNERS
February 4, 1999 - February 9, 2001
OTA LLC
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 55
Date: 3/31/1999
Limited Representative-Equity Trader ExamCurrent Firm
BUTLER CAPITAL PARTNERS
CRD#: 114242 / SEC#: , 8-53413
Contact information
FINRA licenses (22 States and Territories)
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.
