Steven Marotta
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 Marotta was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 4 firms and has passed the Series 63, SIE, 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 3, 2014 - May 4, 2016
STOEVER, GLASS & COMPANY INC.
March 4, 2013 - June 4, 2014
NORTHEAST SECURITIES, LLC
June 16, 2006 - November 28, 2012
UBS SECURITIES LLC
October 19, 1983 - June 26, 2006
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 55
Date: 11/21/2000
Limited Representative-Equity Trader ExamCurrent Firm
STOEVER, GLASS & COMPANY INC.
CRD#: 7031 / SEC#: , 8-19273
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Financial | 1 |
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.
