Steven J. Lasser
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 Jay Lasser was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3, Series 15 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2014 - March 10, 2017
NATIONAL SECURITIES CORPORATION
November 2, 2010 - November 13, 2012
ILLUSTRO TRADING, LLC
April 29, 2010 - October 27, 2010
EDGE TRADING INC.
April 28, 2010 - March 10, 2017
B. RILEY WEALTH ADVISORS, INC.
January 19, 2010 - May 4, 2010
FUSION ANALYTICS INVESTMENT PARTNERS LLC
November 9, 2007 - May 4, 2010
FUSION ANALYTICS SECURITIES LLC
July 17, 2007 - December 31, 2009
FUSION ANALYTICS INVESTMENT PARTNERS LLC
August 22, 2005 - May 18, 2007
CETERA WEALTH SERVICES, LLC
August 18, 2005 - May 18, 2007
CETERA WEALTH SERVICES, LLC
February 26, 2004 - August 24, 2005
FIRST MONTAUK SECURITIES CORP.
February 26, 2004 - August 24, 2005
FIRST MONTAUK SECURITIES CORP.
July 1, 2003 - March 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 2, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 20, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 21, 1997 - October 31, 2000
UBS FINANCIAL SERVICES INC.
May 22, 1989 - February 24, 1990
CITIGROUP GLOBAL MARKETS INC.
July 31, 1984 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
March 22, 1984 - July 20, 1984
JOSEPHTHAL & CO., 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 15
Date: 10/3/1984
Foreign Currency Options ExaminationSeries 5
Date: 9/12/1984
Interest Rate Options ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
