Steven J. Bayern
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 Jay Bayern was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1970. Steven had worked at 12 firms and has passed the Series 63, Series 1, Series 4 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
May 30, 1995 - August 28, 2003
WIN CAPITAL CORP.
September 13, 1994 - December 15, 1994
AEGIS CAPITAL CORP.
February 13, 1991 - December 10, 1992
AEGIS CAPITAL CORP.
May 9, 1984 - March 27, 1990
J. GREGORY & COMPANY, INC.
November 11, 1982 - April 30, 1984
JSC SECURITIES, INC.
October 20, 1982 - November 19, 1982
JII SECURITIES INC.
June 30, 1982 - October 6, 1983
STERN & STERN SECURITIES, INC.
April 30, 1982 - December 10, 1982
A. RACZ & CO., INC.
July 22, 1975 - August 3, 1981
PHILIPS, APPEL & WALDEN, INC.
March 26, 1975 - August 11, 1975
W. T. CABE & COMPANY, INC.
August 23, 1973 - September 15, 1974
BACHE & CO INCORPORATED
August 2, 1972 - July 29, 1974
HALE SECURITIES CORP.
September 3, 1970 - September 7, 1972
JD WINER & CO INC
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
Series 1
Date: 8/27/1970
Registered Representative ExaminationCurrent Firm
WIN CAPITAL CORP.
CRD#: 36172 / SEC#: , 8-47174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KSH TRADING LLC | OWNER | |
| BAYERN, STEVEN JAY | CHAIRMAN, DIRECTOR | 15379 |
| KOLENIK, PATRICK MICHAEL | PRESIDENT, DIRECTOR | 810813 |
| ABLAMSKY, JOHN THOMAS | CFO/SECRETARY/TREASURER/FINOP | 2466780 |
| KOHN, HARVEY RICHARD | DIRECTOR | 817501 |
| QUIGLEY, WILLIAM MICHAEL | COMPLIANCE DIRECTOR | 1968265 |
| SUCOFF, CARY WILLIAM | DIRECTOR | 1156732 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
