Stephen A. Mini
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 Anthony Mini was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 14 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
May 1, 2019 - October 5, 2022
LIQUIDNET, INC.
January 6, 2006 - March 6, 2006
NF CLEARING, INC.
August 29, 2003 - August 14, 2006
CORRESPONDENT SERVICES CORPORATION
October 28, 1999 - July 12, 2017
NATIONAL FINANCIAL SERVICES LLC
February 8, 1999 - October 1, 1999
BANKBOSTON INVESTOR SERVICES, INC.
January 3, 1994 - January 15, 1999
NATIONAL FINANCIAL SERVICES LLC
June 25, 1991 - January 31, 1992
OPPENHEIMER & CO. INC.
April 18, 1991 - June 13, 1991
W.H. NEWBOLD'S SON & CO., INC.
September 12, 1988 - April 19, 1991
LEGG MASON WOOD WALKER, INCORPORATED
June 20, 1984 - September 12, 1988
MORGAN STANLEY DW 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
Current Firm
LIQUIDNET, INC.
CRD#: 103987 / SEC#: , 8-52461
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
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.
