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Steven Scott Girden

CRD# 1378211·Registered 1986 - 2007
Previously Registered: Being a previously registered professional could mean that Steven 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.

Professional Summary

Steven Scott Girden, who also goes by Steven Girden, was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1986 - 2007. Steven had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Steven Girden

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

OFFMAN SECURITIES, LLC·CRD# 133675
BD
New York, NY
May 2, 2007 - November 13, 2007
GLB TRADING, INC·CRD# 125363
BD
Chicago, IL
September 26, 2006 - January 30, 2007
WHEATLEY CAPITAL SERIES FUND LLC·CRD# 134459
BD
Jericho, NY
April 19, 2006 - September 12, 2006
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
July 31, 1993 - March 7, 1995
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
July 21, 1992 - July 31, 1993
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
New York, NY
May 20, 1986 - May 11, 1992

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Current Firm

OS
OFFMAN SECURITIES, LLC

OFFMAN SECURITIES, LLC

CRD#: 133675 / SEC#: 8-66755
BD
Terminated by SEC on 08/17/2009

Contact Information

Established

New York since 11/12/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
OFFMAN, MAYERMANAGING MEMBER/OWNER—
CDS GROUP HOLDINGSPARTNER—
DELGRECO, SHARON GAILCHEIF COMPLIANCE OFFICER—
PURWIN, GARY ROBERTFINOP2545792

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1992About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed May 1986About the Series 7 exam

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CRS (Client Relationship Summary)

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

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