Steven R. Sarovich
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 Robert Sarovich was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 5 firms and has passed the Series 63 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
April 8, 2002 - February 2, 2012
NMS CAPITAL SECURITIES, LLC
January 1, 1998 - July 19, 1999
LASALLE ST SECURITIES, L.L.C.
November 14, 1994 - March 4, 1996
DAIN RAUSCHER INCORPORATED
June 28, 1991 - November 14, 1994
CLAYTON BROWN & ASSOCIATES, INC.
October 26, 1984 - May 28, 1991
INVESCO CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NMS CAPITAL SECURITIES, LLC
CRD#: 107401 / SEC#: , 8-53037
Contact information
Documents
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.
