Stephen D. Lipkin
Professional summary
Stephen David Lipkin, who also goes by Stephen Lipkin, is a registered financial professional currently at MIDLAND SECURITIES, LTD located in Dallas, Texas.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 10 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 24, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen David Lipkin's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 24, 2015 - Present
MIDLAND SECURITIES, LTD
Office #1: 1605 Lbj Freeway, Suite 710 Suite 710, Dallas, TX 75234May 15, 2002 - August 24, 2015
NATALLIANCE SECURITIES, LLC
July 7, 2000 - May 10, 2002
SERVICE ASSET MANAGEMENT COMPANY
October 12, 1999 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
November 28, 1995 - October 7, 1999
HILLTOP SECURITIES INC.
July 12, 1991 - October 5, 1994
GOVERNMENT SECURITIES CORPORATION
July 10, 1991 - October 5, 1994
GSC SECURITIES, INC.
June 11, 1991 - July 17, 1991
THE TRADING DESK, INC.
March 6, 1990 - October 23, 1990
MARQUIS INVESTMENTS, L.L.C.
February 26, 1986 - April 3, 1989
ROTAN MOSLE INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/10/2020)
(7/10/2020)
(3/16/2021)
(7/10/2020)
(8/24/2015)
(8/24/2015)
(2/25/2021)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 11/4/1987
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
MIDLAND SECURITIES, LTD
CRD#: 23736 / SEC#: , 8-40685
Contact information
FINRA licenses (8 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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