Steven B. Hanna
Professional summary
Steven Buddy Hanna was barred by the SEC 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 1985. Prior to being barred, Steven had worked at 8 firms, which includes BENSON YORK GROUP INC., H G I, S. D. COHN & CO. INC., BARRETT DAY SECURITIES INC., J. T. MORAN & CO. INC., PHILIPS APPEL & WALDEN INC., SWARTWOOD HESSE INC., MONVEST SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 1999 - March 14, 2000
BENSON YORK GROUP, INC.
February 6, 1997 - July 11, 1997
H G I
May 22, 1996 - December 20, 1996
S. D. COHN & CO., INC.
December 11, 1992 - April 9, 1996
H G I
May 2, 1989 - August 7, 1992
BARRETT DAY SECURITIES, INC.
July 1, 1988 - March 8, 1989
J. T. MORAN & CO., INC.
July 17, 1987 - May 24, 1988
PHILIPS, APPEL & WALDEN, INC.
April 1, 1987 - July 9, 1987
SWARTWOOD, HESSE INC.
November 19, 1985 - February 27, 1987
MONVEST 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
BENSON YORK GROUP, INC.
CRD#: 40231 / SEC#: , 8-48986
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MID ISLAND GROUP LP | MEMBER | |
| ALTER,EDWARD,T. | SHAREHOLDER | |
| BRENNAN, KEVIN PATRICK | CEO | 3009014 |
| CHEESE, PETER AYRTON | SHAREHOLDER | 4135870 |
| CONROY, JOHN JOSEPH | PRESIDENT | 3008995 |
| DAVID, MCMILLIAN | SHAREHOLDER | 4615688 |
| DEMETRI, GARY P | GENERAL PRINCIPAL | 1744849 |
| DUBIN, BRYAN H. | SHAREHOLDER | 4133663 |
| FOLBERTH, RONALD W | SHAREHOLDER | 3146128 |
| FRIEDMAN, SOLOMON | SHAREHOLDER | 4133919 |
| HOMAYOONFAR, FARHAD DAVID | SHAREHOLDER | 4135853 |
| JERMYN, JOHN JAMES | SHAREHOLDER | |
| KRUG, MARK ANDREW | SHAREHOLDER | 4135859 |
| KUPFER, TERRANCE W. | SHAREHOLDER | 4134006 |
| LAMPIASI, VICTOR NONE | SHAREHOLDER | 4615691 |
| LARSON, DENNIS | SHAREHOLDER | 4615682 |
| LENZ, GORDON UNKNOWN II | SHAREHOLDER | 4512437 |
| LUCE, JAMES EDWIN | SHAREHOLDER | 3146136 |
| MCKENNA, WAYNE A. | SHAREHOLDER | 4138432 |
| MILLER, BRADFORD ALAN | FINOP | 1934143 |
| NICKELL,GARVIN,B. | SHAREHOLDER | |
| PASCHKE, RANDOLPH CLARE | SHAREHOLDER | 4132848 |
| SAMPSON, KEVIN THOMAS | SHAREHOLDER | 4135874 |
| SHEALEY, WILLIAM RAY | SHAREHOLDER | 4512381 |
| SPIEGEL, HOPE | SHAREHOLDER | 4135875 |
| SUTTER, TIMOTHY NONE | SHAREHOLDER | 4615693 |
| UDD, RODNEY D | SHAREHOLDER | |
| WERNET, MARK EDWARD | SHAREHOLDER | 4405331 |
| WESTERMAN, JOHN EDWARD | SHAREHOLDER | 4136205 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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