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Steven Michael Ehlers

CRD# 1507772·Registered 1986 - 1998
Previously Registered: Being a previously registered professional could mean that Steven 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.

Professional Summary

Steven Michael Ehlers was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1986 - 1998. Steven had worked at 13 firms and has passed the Series 63, Series 7, Series 3 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

QUANTUM GROUP, LTD.·CRD# 33615
BD
Sloatsburg, NY
December 19, 1996 - August 3, 1998
FALCON TRADING GROUP, LTD.·CRD# 30361
BD
Boca Raton, FL
November 2, 1995 - April 9, 1997
A. G. EDWARDS & SONS, INC.·CRD# 4
BD
St. Louis, MO
February 9, 1995 - April 27, 1995
UNION EQUITY PARTNERS, INC.·CRD# 28890
BD
Las Vegas, NV
January 5, 1994 - January 31, 1995
E-W INVESTMENTS, INC.·CRD# 17463
BD
San Gabriel, CA
November 12, 1993 - December 22, 1993
ALISON, BAER SECURITIES INC.·CRD# 11808
BD
July 13, 1989 - October 19, 1989
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
May 22, 1989 - June 28, 1989
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
October 7, 1988 - May 22, 1989
JONATHAN ALAN & CO., INC.·CRD# 15914
BD
August 2, 1988 - October 4, 1988
PROFILE INVESTMENTS CORPORATION·CRD# 16478
BD
December 15, 1987 - April 12, 1988
PROVIDENCE SECURITIES, INC.·CRD# 14119
BD
June 4, 1987 - December 16, 1987
NORTH AMERICAN INVESTMENT CORP.·CRD# 7568
BD
October 13, 1986 - June 4, 1987
BEURET & COMPANY, LTD.·CRD# 16198
BD
July 28, 1986 - October 13, 1986

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Current Firm

QG
QUANTUM GROUP, LTD.

J.P. MILLIGAN, INC. | TIGER SECURITIES CORP. | QUANTUM GROUP, LTD.

CRD#: 33615 / SEC#: 8-46113
BD
Cancelled by SEC on 01/26/1999

Contact Information

Established

New York since 04/19/1993

Firm Type

Corporation

Fiscal Year End

February

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1993About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1993About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Dec 1988About the Series 3 exam

Series 24 — General Securities Principal Examination

Passed Mar 1996About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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