Steven B. Lynch
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 Bryan Lynch, who also goes by Steven Brian Lynch, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 13 firms and has passed the Series 63, SIE, Series 55, 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
August 21, 2014 - December 8, 2015
FIRST NEW YORK SECURITIES L.L.C.
November 4, 2013 - July 2, 2014
WEEDEN & CO.L.P.
September 8, 2009 - March 12, 2013
J.P. MORGAN SECURITIES LLC
August 18, 1999 - September 22, 2009
CITIGROUP GLOBAL MARKETS INC.
January 1, 1996 - July 28, 1999
HSBC SECURITIES (USA) INC.
May 5, 1995 - January 1, 1996
JAMES CAPEL INCORPORATED
March 28, 1991 - May 5, 1995
NATWEST INTERNATIONAL SECURITIES INC.
January 1, 1990 - April 4, 1991
COUNTY NATWEST GLOBAL SECURITIES LIMITED
July 11, 1989 - May 5, 1995
NATWEST SECURITIES CORPORATION
June 18, 1987 - June 26, 1989
ROBERT FLEMING INC.
February 17, 1987 - June 9, 1987
DISCOUNT BROKERS INTERNATIONAL, INC.
February 13, 1986 - June 3, 1987
FLEET BROKERAGE SECURITIES, INC.
December 18, 1984 - January 22, 1986
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
Series 55
Date: 12/10/1999
Limited Representative-Equity Trader ExamCurrent Firm
FIRST NEW YORK SECURITIES L.L.C.
CRD#: 16362 / SEC#: , 8-33753
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FNY PARTNERS FUND LP | OWNER | |
| BROKAW, LLOYD BRUCE | MANAGING MEMBER | 31368 |
| DICKERSON, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 1917497 |
| MIRON, RUSSEL LEEDS | CHIEF OPERATING OFFICER | 1509249 |
| MOTSCHWILLER, DONALD ERIC | CHIEF EXECUTIVE OFFICER | 1454120 |
| NOORANI, FARAZ AMIR | MANAGING MEMBER | 4983674 |
| SABATINI, DONNA ANN | CHIEF FINANCIAL OFFICER | 2352318 |
Disclosures
| Regulatory Event | 18 |
| Bond | 1 |
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.
