Stephen Carella
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 Carella was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 13 firms and has passed the Series 63, 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
June 14, 2002 - June 23, 2010
VFINANCE INVESTMENTS, INC
April 23, 1998 - June 4, 2002
FIRST SECURITY INVESTMENTS, INC.
November 7, 1996 - May 13, 1998
NORTHEAST SECURITIES, LLC
May 26, 1995 - January 14, 1997
ROYAL PALM INVESTMENTS, LTD.
February 20, 1992 - May 12, 1995
MEYERS POLLOCK ROBBINS, INC.
January 6, 1992 - March 19, 1992
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 2, 1990 - January 7, 1992
TAMARON INVESTMENTS, INC.
August 31, 1990 - November 7, 1990
BRENNAN ROSS SECURITIES, INC.
April 23, 1990 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
February 5, 1990 - June 4, 1990
VANDERBILT SECURITIES, INC.
May 20, 1988 - February 13, 1990
J. T. MORAN & CO., INC.
February 2, 1987 - May 23, 1988
SHERWOOD CAPITAL, INC.
November 21, 1984 - January 31, 1987
FIRST JERSEY 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
Current Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
