Steven M. Lipper
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 Matthew Lipper was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 16, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2014 - January 4, 2023
ROYCE FUND SERVICES, LLC
February 4, 2005 - October 7, 2014
LORD, ABBETT & CO. LLC
September 8, 2004 - October 7, 2014
LORD ABBETT DISTRIBUTOR LLC
June 28, 1999 - July 7, 2000
REUTERS C CORPORATION
January 2, 1989 - June 18, 1999
LIPPER ANALYTICAL SECURITIES CORPORATION
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 8
Date: 4/15/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ROYCE FUND SERVICES, LLC
CRD#: 14470 / SEC#: , 8-28663
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROYCE & ASSOCIATES, LP | MEMBER | |
| CLARK, CHRISTOPHER DEWITT | PRESIDENT, SUPERVISORY PRINCIPAL | 1735713 |
| DENNEEN, JOHN EDWARD | SECRETARY, GENERAL COUNSEL | 4324430 |
| GANNON, FRANCIS DOYLE | VICE PRESIDENT | 2420802 |
| PALASITS, THOMAS R | TREASURER, FINANCIAL & OPERATIONS PRINCIPAL | 1675575 |
| WILSON, DAVID BERTRAND | CHIEF COMPLIANCE OFFICER | 5780721 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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