Stephen C. Roussin
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.
Stephen Craig Roussin, who also goes by Stephen C Roussin, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2018 - September 17, 2018
CAVU SECURITIES LLC
November 14, 2014 - October 14, 2016
CAVU SECURITIES LLC
July 1, 2011 - November 30, 2012
CAMPBELL FINANCIAL SERVICES, LLC
May 20, 2008 - December 10, 2009
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
November 8, 2004 - December 10, 2009
UBS FINANCIAL SERVICES INC.
September 3, 2004 - December 10, 2009
UBS FINANCIAL SERVICES INC.
February 9, 1999 - May 7, 2004
NYLIFE DISTRIBUTORS LLC
July 10, 1997 - February 12, 2002
NYLIFE SECURITIES LLC
June 21, 1994 - June 17, 1997
CITIGROUP GLOBAL MARKETS INC.
October 16, 1989 - May 2, 1994
PRUDENTIAL EQUITY GROUP, LLC
April 13, 1988 - August 23, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 20, 1986 - August 25, 1987
UBS FINANCIAL SERVICES INC.
April 1, 1986 - October 30, 1986
MORGAN STANLEY DW INC.
March 7, 1986 - April 21, 1986
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 7, 1986 - May 7, 1986
OSAIC FA, INC.
December 21, 1985 - May 7, 1986
LINCOLN NATIONAL PENSION INSURANCE COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
CAVU SECURITIES LLC
CRD#: 6906 / SEC#: , 8-18428
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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