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SR

Steven L. Rattner

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CRD#: 1438959
SR

Professional summary

Steven Lawrence Rattner 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 3 firms, which includes QUADRANGLE SECURITIES LLC, LAZARD FRERES & CO. LLC, MORGAN STANLEY & CO. LLC.

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

March 9, 2001 - October 27, 2006

QUADRANGLE SECURITIES LLC

BD
CRD#: 104383
NEW YORK, NY
Past

July 6, 1989 - March 22, 2000

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY
Past

December 3, 1985 - June 19, 1989

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
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
RR
Series 63
Date: 7/3/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 4/26/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/16/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/19/1990
General Securities Principal Examination

Current Firm

QS
QUADRANGLE SECURITIES LLC
QUADRANGLE SECURITIES LLC

CRD#: 104383 / SEC#: , 8-52845

BD
Terminated by SEC on 10/27/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/20/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
QUADRANGLE GROUP LLCDIRECT OWNER
CARLSON, KIMBERLEY FASELCHIEF ADMIN. OFFICER1625467
EZERSKY, PETER ROYMANAGING PRINCIPAL1569510
RATTNER, STEVEN LAWRENCECHIEF OPERTIONS EXECUTIVE/MANAGING PRINCIPAL1438959
STEINER, JOSHUA LINDERPRINCIPAL2625794
TANNER, DAVID ALLENPRINCIPAL3090569

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

QUADRANGLE SECURITIES LLC

CRD#: 104383

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