Steven F. Bracy
Professional summary
Steven Franklin Bracy was barred by the FINRA 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 2002. Prior to being barred, Steven had worked at 3 firms, which includes ROSS SINCLAIRE & ASSOCIATES LLC, UBS SECURITIES LLC, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2009 - November 13, 2013
ROSS, SINCLAIRE & ASSOCIATES, LLC
January 16, 2006 - June 18, 2008
UBS SECURITIES LLC
August 5, 2002 - January 16, 2006
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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