Steven N. Tumen
Professional summary
Steven Noah Tumen is a registered financial professional currently at GEMINI CAPITAL L.L.C. located in Chicago, Illinois.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Noah Tumen's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 9, 1998 - Present
GEMINI CAPITAL L.L.C.
Office #1: 111 West Jackson Blvd. 20th Floor, Chicago, IL, 60604Office #2: 111 West Jackson Blvd., #2220, Chicago, IL 60604January 30, 2015 - November 6, 2017
SPHINX TRADING, LP
April 12, 2011 - December 26, 2017
EQUITEC PROPRIETARY MARKETS, LLC
May 14, 1997 - July 6, 1998
R. D. KUSHNIR & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/30/1998)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
GEMINI CAPITAL L.L.C.
CRD#: 45178 / SEC#: , 8-50996
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
