Steven A. Hamm
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 Anthony Hamm was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1991. Steven had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2011 - February 1, 2012
NATIONAL SECURITIES CORPORATION
June 2, 2009 - January 7, 2010
ILLUSTRO TRADING, LLC
January 1, 2007 - May 25, 2007
LEGEND MERCHANT GROUP, INC.
July 8, 2004 - January 14, 2005
WINDSOR STREET CAPITAL, LP
July 10, 2002 - July 25, 2002
INVEST FINANCIAL CORPORATION
March 9, 1999 - November 19, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 9, 1998 - March 10, 1999
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 22, 1996 - June 19, 1998
JOSEPHTHAL & CO., INC.
February 17, 1993 - August 14, 1996
J.W. BARCLAY & CO., INC.
June 29, 1992 - November 19, 1992
R.K. STEELE
September 3, 1991 - July 27, 1992
FIRST MONTAUK SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
