GS
George S. Saucer
TRADESTATION SECURITIES
Plantation, FL 33324
Some features on this profile are disabled
CRD#: 1363169
GS
Professional summary
George Stephen Saucer, who also goes by Steve Saucer, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida.
George is registered as a RR (Registered Representative) and started their career in finance in 1985. George has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Saucer
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view George Stephen Saucer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 8, 2003 - Present
TRADESTATION SECURITIES, INC.
Office #1: 8050 Sw 10th Street Suite 2000, Plantation, FL 33324BD
CRD#: 39473
Plantation, FL
Past
May 16, 2002 - May 8, 2003
MURIEL SIEBERT & CO., LLC
BD
CRD#: 5376
NEW YORK, NY
Past
December 22, 1999 - August 12, 2002
TRADESTATION SECURITIES, INC.
BD
CRD#: 39473
PLANTATION, FL
Past
November 24, 1998 - January 28, 2000
EVALUVEST DIRECT INVESTMENTS, INC.
BD
CRD#: 6957
DEERFIELD BEACH, FL
Past
January 24, 1996 - October 14, 1998
DREYFUS BROKERAGE SERVICES, INC.
BD
CRD#: 7289
LOS ANGELES, CA
Past
March 9, 1995 - January 17, 1996
EVALUVEST DIRECT INVESTMENTS, INC.
BD
CRD#: 6957
DEERFIELD BEACH, FL
Past
November 8, 1991 - September 8, 1994
DREYFUS BROKERAGE SERVICES, INC.
BD
CRD#: 7289
LOS ANGELES, CA
Past
March 25, 1987 - March 22, 1991
DREYFUS BROKERAGE SERVICES, INC.
BD
CRD#: 7289
LOS ANGELES, CA
Past
March 23, 1987 - March 25, 1987
CM SECURITIES, INC.
BD
CRD#: 7284
Past
September 26, 1986 - November 19, 1986
SHATKIN FINANCIAL SERVICES, INC.
BD
CRD#: 16883
Past
May 16, 1985 - November 23, 1985
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/8/2003)
RR
Alaska(5/8/2003)
RR
Arizona(5/8/2003)
RR
Arkansas(5/8/2003)
RR
California(5/8/2003)
RR
Colorado(5/8/2003)
RR
Connecticut(5/8/2003)
RR
Delaware(5/8/2003)
RR
District of Columbia(5/8/2003)
RR
Florida(5/8/2003)
RR
Georgia(5/8/2003)
RR
Hawaii(5/8/2003)
RR
Idaho(5/8/2003)
RR
Illinois(5/8/2003)
RR
Indiana(5/8/2003)
RR
Iowa(5/8/2003)
RR
Kansas(5/8/2003)
RR
Kentucky(5/8/2003)
RR
Louisiana(5/8/2003)
RR
Maine(5/8/2003)
RR
Maryland(5/8/2003)
RR
Massachusetts(5/8/2003)
RR
Michigan(5/8/2003)
RR
Minnesota(5/8/2003)
RR
Mississippi(5/8/2003)
RR
Missouri(5/8/2003)
RR
Montana(5/8/2003)
RR
Nebraska(5/8/2003)
RR
Nevada(5/8/2003)
RR
New Hampshire(5/8/2003)
RR
New Jersey(5/8/2003)
RR
New Mexico(5/12/2003)
RR
New York(5/8/2003)
RR
North Carolina(5/8/2003)
RR
North Dakota(5/8/2003)
RR
Ohio(5/8/2003)
RR
Oklahoma(5/8/2003)
RR
Oregon(5/8/2003)
RR
Pennsylvania(5/8/2003)
RR
Puerto Rico(3/21/2022)
RR
Rhode Island(5/8/2003)
RR
South Carolina(5/8/2003)
RR
South Dakota(5/8/2003)
RR
Tennessee(5/8/2003)
RR
Texas(5/8/2003)
RR
Utah(5/8/2003)
RR
Vermont(5/8/2003)
RR
Virginia(5/8/2003)
RR
Washington(5/8/2003)
RR
West Virginia(5/8/2003)
RR
Wisconsin(5/8/2003)
RR
Wyoming(5/8/2003)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/2/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.
CRD#: 39473 / SEC#: , 8-48711
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
Company Information
TRADESTATION SECURITIES, INC.
CRD#: 39473Plantation, FL 33324TRUST BUT VERIFY
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