Stephen R. Tobias
Professional summary
Stephen Rory Tobias, who also goes by Stephen R Tobias, is a registered financial professional currently at SRT SECURITIES LLC located in Birmingham, Michigan.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2003. Stephen has worked at 1 firm and has passed the Series 63, Series 57TO, Series 7TO, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 14 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Rory Tobias's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 5, 2003 - Present
SRT SECURITIES LLC
Office #3: 416 Hawthorne Street, Birmingham, MI 48009State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/19/2018)
(5/9/2013)
(1/19/2018)
(1/17/2018)
(7/26/2018)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Texas, Inc.
Current Firm
SRT SECURITIES LLC
CRD#: 33725 / SEC#: , 8-34415
Contact information
FINRA licenses (25 States and Territories)
Documents
Disclosures
| Regulatory Event | 24 |
Red Flags
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