Steven P. Braverman
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 Paul Braverman was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 6 firms and has passed the Series 63, SIE, Series 56 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2012 - January 13, 2016
KOYOTE TRADING LLC
March 26, 1992 - January 4, 1993
DAVID J. GREENE AND COMPANY, LLC
November 15, 1991 - April 8, 1993
ACCESS SECURITIES, LLC
July 7, 1988 - February 13, 1990
STARR SECURITIES, INC.
July 17, 1986 - July 15, 1988
HERZOG, HEINE, GEDULD, LLC
January 16, 1986 - July 10, 1986
COHMAD SECURITIES CORPORATION
May 16, 1985 - November 18, 1985
DAVID J. GREENE AND COMPANY, LLC
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 56
Date: 8/14/2012
Proprietary Trader Qualification ExaminationCurrent Firm
KOYOTE TRADING LLC
CRD#: 149672 / SEC#: , 8-68182
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOYOTE CAPITAL GROUP LLC | OWNER | |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| RISI, SALVATORE ANTHONY | CFO/FINOP | 1072513 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER | 1280443 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
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.
