Stephen A Stefano
Professional Summary
Stephen A Stefano, who also goes by Stephen A Stefano, Stephen Andrew Stefano, is a registered financial advisor 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen A Stefano, Stephen Andrew Stefano
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
DIVY EQUITIES, INC. | TRADEZERO AMERICA, INC.
Contact Information
Main Address
67 35th Street Suite B450, Brooklyn, NY 11232Mailing Address
67 35th Street Suite B450 Box 5-4-bse, Brooklyn, NY 11232Phone Number
(718) 709-4925Established
Delaware since 09/02/2015Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADEZERO USA INC | SHAREHOLDER | — |
| CALLEJAS, KHRIS | FINOP | 6062989 |
| CALLEJAS, KHRIS | PRINCIPAL FINANCIAL OFFICER | 6062989 |
| LUO, XIAOXIAO | MARKETING REGISTERED OPTIONS PRINCIPAL | 7046196 |
| NACCARELLI, ANTONY CARMINE | CEO | 1412706 |
| NACCARELLI, ANTONY CARMINE | CHIEF COMPLIANCE OFFICER | 1412706 |
| SHEARIN, MICHAEL A | CHIEF OPERATIONS OFFICER | 6358252 |
| WONG, BILLY | ROP | 5241493 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2002Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2000About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen A Stefano's CRS (Customer Relationship Summary).
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