Steven J. Balz
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.
Steven John Balz was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 4 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2011 - March 12, 2014
LUPO SECURITIES, LLC
November 19, 1989 - April 24, 1990
OSAIC WEALTH, INC.
July 11, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 11, 1987 - February 6, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 26, 1986 - March 23, 1987
EBS BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LUPO SECURITIES, LLC
CRD#: 43761 / SEC#: , 8-50403
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
| Civil Event | 1 |
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.
