Stephen A. Stefano
Professional summary
Stephen A Stefano, who also goes by Stephen A Stefano, Stephen Andrew Stefano, is a registered financial professional currently at TRADEZERO AMERICA, INC. located in Brooklyn, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 11 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 10, Series 9, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen A Stefano's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 2021 - Present
TRADEZERO AMERICA, INC.
Office #1: 67 35th Street Suite B450, Brooklyn, NY 11232April 15, 2024 - September 19, 2024
TZ CLEAR LLC
March 14, 2019 - June 17, 2020
PRUCO SECURITIES, LLC.
May 26, 2017 - March 12, 2019
DAVID LERNER ASSOCIATES, INC.
November 26, 2014 - May 25, 2017
ALLSTATE FINANCIAL SERVICES, LLC
June 28, 2012 - November 3, 2014
MML INVESTORS SERVICES, LLC
January 9, 2012 - July 5, 2012
NYLIFE SECURITIES LLC
January 14, 2011 - September 29, 2011
DB SECURITIES SERVICES NJ INC.
June 12, 2001 - February 10, 2009
CITIGROUP GLOBAL MARKETS INC.
September 27, 1999 - March 15, 2001
ABN AMRO SECURITIES LLC
June 6, 1996 - May 7, 1999
JPMSI
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 2/15/2002
Limited Representative-Equity Trader ExamCboe EDGX Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
New York Stock Exchange
Current Firm
TRADEZERO AMERICA, INC.
CRD#: 282940 / SEC#: , 8-69736
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEZERO USA INC | SHAREHOLDER | |
| CALLEJAS, KHRIS | PRINCIPAL FINANCIAL OFFICER | 6062989 |
| CALLEJAS, KHRIS | FINOP | 6062989 |
| CURET, JEFFREY HOWARD | REGISTERED OPTION PRINCIPAL / CHIEF OPERATIONS OFFICER | 4711190 |
| HAUPT, MICHAEL S | CEO | 2865821 |
| NACCARELLI, ANTONY CARMINE | CHIEF COMPLIANCE OFFICER | 1412706 |
| ORTEGON, MARY ANNETTE | MARKETING REGISTERED OPTIONS PRINCIPAL | 1297351 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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