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SP

Steven D. Persky

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CRD#: 1368992
SP

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 David Persky was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 25, 2007 - November 2, 2021

DALTON INVESTMENTS LLC

RIA
CRD#: 109538
LOS ANGELES, CA
Past

August 24, 1992 - March 11, 1998

PAYDEN & RYGEL DISTRIBUTORS

BD
CRD#: 29868
LOS ANGELES, CA
Past

July 23, 1985 - June 11, 1990

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/16/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/3/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination

Current Firm

DI
DALTON INVESTMENTS LLC
DALTON ADVISORS | ROSENWALD CAPITAL MANAGMENT INC. (SEC RELYING ADVISOR) | PERSKY FINANCIAL MANAGMENT, INC. (SEC RELYING ADVISOR) | DALTON INVESTMENTS, INC. | DALTON INVESTMENTS LLC | DALTON INVESTMENTS (AUSTRALIA) PTY LTD | DALTON INVESTMENT ADVISORY SERVICES PRIVATE LIMITED (WHOLLY-OWNED INDIA SUBSIDIARY) | DALTON ADVISORY KK (WHOLLY-OWNED JAPAN FSA SUBSIDIARY) | DALTON ADVISORY CO. LTD.

CRD#: 109538 / SEC#: 801-56572

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Contact information

Main Address
1601 Cloverfield Boulevard Suite 5050 N, Santa Monica, CA 90404
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

DALTON ADV PART 2B (3/31/2021)
DALTON ADV PART 2A (3/31/2021)

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

DALTON INVESTMENTS LLC

CRD#: 109538

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