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SM

Steven A. Muchnikoff

MISCHLER FINANCIAL GROUP
IRVINE, CA 92612
Some features on this profile are disabled
CRD#: 1473626
SM

Professional summary

Steven Alan Muchnikoff is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Irvine, California.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1986. Steven has worked at 17 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Steven Alan Muchnikoff's 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®
None

Experience

Current

July 30, 2012 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: 19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
BD
CRD#: 37818
IRVINE, CA
Past

September 25, 2006 - July 25, 2012

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

January 30, 2006 - September 22, 2006

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
TAMPA, FL
Past

September 5, 2001 - September 26, 2005

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

August 27, 1999 - July 19, 2001

DUPONT SECURITIES GROUP, INC.

BD
CRD#: 42305
NEW YORK, NY
Past

April 5, 1999 - September 2, 1999

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

September 25, 1998 - April 6, 1999

NEWEDGE USA, LLC

BD
CRD#: 36118
CHICAGO, IL
Past

March 5, 1997 - August 5, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

March 5, 1997 - August 5, 1998

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

November 27, 1996 - February 18, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 27, 1996 - February 18, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

January 4, 1993 - November 6, 1995

HARRIS NESBITT CORP.

BD
CRD#: 7299
CHICAGO, IL
Past

February 19, 1992 - January 4, 1993

HARRIS GOVERNMENT SECURITIES INC.

BD
CRD#: 22511
Past

July 26, 1991 - February 11, 1992

THE TRADING DESK, INC.

BD
CRD#: 22908
Past

January 4, 1989 - October 16, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 18, 1988 - January 17, 1989

UNDERWOOD, NEUHAUS & CO., INCORPORATED

BD
CRD#: 839
Past

April 26, 1986 - November 5, 1986

WESTPAC POLLOCK & CO. INC.

BD
CRD#: 901

State Registrations and Notice Filings

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

RR
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

RR
California
(7/30/2012)
RR
Connecticut
(7/30/2012)
RR
Hawaii
(1/18/2024)
RR
Michigan
(1/9/2025)
RR
Nevada
(11/9/2015)
RR
New Jersey
(2/23/2022)
RR
New York
(2/23/2022)
RR
North Carolina
(2/23/2022)
RR
Texas
(8/12/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 5/2/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/19/1996
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/22/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818Irvine, CA 92612

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