Steven J. Sorice
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 Joseph Sorice, who also goes by Steve Sorice, 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 63, SIE, Series 55, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2010 - September 30, 2019
BUCKMAN, BUCKMAN & REID, INC.
April 5, 2007 - August 4, 2008
POSIT ALERT LLC
January 5, 2006 - September 21, 2006
BUCKMAN, BUCKMAN & REID, INC.
September 4, 2003 - January 29, 2004
VIRTU ITG LLC
September 3, 2002 - January 29, 2004
ITG EXECUTION SERVICES, INC.
December 1, 1999 - September 3, 2002
VIRTU ALTERNET SECURITIES LLC
October 3, 1994 - September 3, 2002
VIRTU ITG LLC
January 1, 1994 - September 14, 1994
COWEN EXECUTION SERVICES LLC
October 24, 1988 - January 1, 1994
EXECUTION SERVICES INCORPORATED
July 29, 1988 - September 23, 1988
DOLEY SECURITIES, LLC.
July 15, 1988 - January 24, 1989
SHAMROCK PARTNERS, LTD.
March 9, 1988 - May 18, 1988
STEVEN ANDREW & COMPANY, INC.
April 7, 1986 - December 21, 1987
JEROLD SECURITIES & CO., INC.
January 9, 1986 - April 15, 1986
LOWENTHAL FINANCIAL SERVICES, INC.
May 3, 1985 - November 11, 1985
PALM BEACH SECURITIES, INC.
March 28, 1984 - May 10, 1985
CITIWIDE SECURITIES CORP.
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: 10/21/1998
Limited Representative-Equity Trader ExamCurrent Firm
BUCKMAN, BUCKMAN & REID, INC.
CRD#: 23407 / SEC#: , 8-40413
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JTC HOLDINGS LLC | SHARE HOLDER | |
| GIAKAS, WALLACE MARTIN | STOCKHOLDER | 1068278 |
| LAU, PETER SEN | STOCKHOLDER | 2302677 |
| YANG, ZHAO | SHAREHOLDER | 6077274 |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| BUCKMAN, HARRY JOHN | CHAIRMAN, RSOP | 1090909 |
| BUCKMAN, HARRY JOHN JR | SR. VICE PRESIDENT | 2202467 |
| BUCKMAN, MARY | STOCKHOLDER | 5823239 |
| BUCKMAN, THOMAS PAUL | SECRETARY | 2577168 |
| CAMPOLI, JOHN | SHAREHOLDER | 6596748 |
| PANNO, RICHARD ANTHONY | CHIEF COMPLIANCE OFFICER | 724727 |
| SHOICHET, MARK ELLIOTT | STOCKHOLDER | 2301353 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
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.
