Steven Femminello

VANDERBILT SECURITIES

Garden City, NY 11530

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CRD#: 1384317

Professional summary

Steven Femminello, CFP® is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Garden City, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Steven Femminello's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

October 9, 2008 - Present

VANDERBILT SECURITIES, LLC

Office #1: 1325 Franklin Avenue Suite 225, Garden City, NY 11530

CRD#: 5953

Garden City, NY

Past

May 16, 2016 - December 16, 2019

VANDERBILT ADVISORY SERVICES

RIA

CRD#: 116537

WOODBURY, NY

Past

October 2, 1989 - October 6, 2008

CADARET, GRANT & CO., INC.

CRD#: 10641

GARDEN CITY, NY

Past

March 14, 1988 - October 2, 1989

CADARET, GRANT & CO., INC.

CRD#: 16404

Past

August 20, 1987 - February 10, 1988

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

Past

December 3, 1985 - September 3, 1987

G. K. SCOTT & CO., INC.

CRD#: 3305

Past

August 8, 1985 - October 23, 1985

GLOBAL CAPITAL SECURITIES, INC.

CRD#: 13358

State Registrations and Notice Filings

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

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

Delaware
(9/20/2022)

Florida
(9/20/2013)

Georgia
(10/9/2008)

Maryland
(5/17/2022)

New Jersey
(10/9/2008)

New York
(10/9/2008)

North Carolina
(10/9/2008)

Pennsylvania
(4/24/2019)

South Carolina
(4/11/2023)

Tennessee
(1/9/2019)

Exams

State Security Law Exam

Series 63

Date: 8/9/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Steven Femminello

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Femminello's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANDERBILT ADVISORY SERVICES

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

NATHAN & LEWIS SECURITIES, INC.

G. K. SCOTT & CO., INC.

GLOBAL CAPITAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/9/1985

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1985

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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