Steven R. Jaloza
Professional summary
Steven Richard Jaloza was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Steven had worked at 11 firms, which includes THE CONCORD EQUITY GROUP LLC, GUNNALLEN FINANCIAL INC, BENCHMARK SECURITIES GROUP INC., HAPOALIM SECURITIES USA INC., JOSEPH DILLON & COMPANY INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, MORGAN STANLEY DW INC., SOUTH RICHMOND SECURITIES INC., LEVCO SECURITIES CORP., GREENTREE SECURITIES CORP., CITIWIDE SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2006 - July 18, 2007
THE CONCORD EQUITY GROUP, LLC
September 3, 2003 - December 31, 2005
GUNNALLEN FINANCIAL, INC
August 1, 2002 - July 31, 2003
BENCHMARK SECURITIES GROUP, INC.
August 23, 2000 - August 30, 2002
HAPOALIM SECURITIES USA, INC.
July 1, 1994 - November 21, 2000
JOSEPH DILLON & COMPANY INC.
September 22, 1992 - September 28, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 24, 1992 - October 1, 1992
MORGAN STANLEY DW INC.
February 23, 1988 - January 29, 1992
SOUTH RICHMOND SECURITIES, INC.
November 24, 1986 - March 17, 1988
LEVCO SECURITIES CORP.
June 28, 1985 - December 1, 1986
GREENTREE SECURITIES CORP.
November 21, 1984 - June 12, 1985
CITIWIDE SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Current Firm
THE CONCORD EQUITY GROUP, LLC
CRD#: 14569 / SEC#: , 8-35226
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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