Stephen J. Gianis
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.
Stephen John Gianis was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2015 - February 1, 2016
PUMA CAPITAL, LLC
July 5, 2011 - March 31, 2014
T3 TRADING GROUP, LLC
March 3, 2010 - January 20, 2011
HUDSON SECURITIES,INC.
January 23, 2007 - February 24, 2009
HILL THOMPSON MAGID & CO., INC.
July 18, 1995 - February 2, 2005
KNIGHT CAPITAL AMERICAS, L.P.
January 4, 1995 - June 9, 1995
ESSEX NATIONAL SECURITIES, LLC
October 16, 1992 - January 12, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 16, 1992 - January 12, 1995
EQUITABLE ADVISORS, LLC
March 18, 1992 - July 10, 1992
DEUTSCHE IXE, LLC
March 30, 1990 - March 14, 1992
TP ICAP GLOBAL MARKETS AMERICAS LLC
March 15, 1988 - November 30, 1989
WEDBUSH SECURITIES INC.
June 12, 1987 - September 1, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1984 - December 24, 1985
WEDBUSH SECURITIES INC.
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: 11/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
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.
