Stephen J. Carl

SIEBERT WILLIAMS SHANK & CO.

New York, NY 10005

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CRD#: 1542098

Professional summary

Stephen Julius Carl is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 5 firms and has passed the Series 63, Series 72, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Julius Carl's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 5, 2019 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 100 Wall Street 18th Floor, New York, NY 10005Office #2: 100 Wall Street 18th Floor, New York, NY 10005Office #3: 625 N. Michigan Avenue Suite 2350, Chicago, IL 60611Office #4: 8 Wright Street Suite 107, Westport, CT 06880

CRD#: 42568

New York, NY

Past

March 30, 1999 - November 5, 2019

THE WILLIAMS CAPITAL GROUP, L.P.

CRD#: 35149

NEW YORK, NY

Past

September 13, 1991 - February 4, 1999

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

January 15, 1991 - June 24, 1991

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

November 18, 1986 - June 9, 1988

INGALLS & SNYDER, LLC

CRD#: 2288

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/5/2019)

California
(11/5/2019)

District of Columbia
(11/5/2019)

Florida
(11/5/2019)

Georgia
(11/5/2019)

Illinois
(11/5/2019)

Massachusetts
(11/5/2019)

New York
(11/5/2019)

Ohio
(11/5/2019)

Oklahoma
(11/5/2019)

Texas
(11/5/2019)

Washington
(11/5/2019)

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street 18th Floor, New York, NY 10005

Mailing Address

100 Wall Street 18th Floor, New York, NY 10005

Phone number

(646) 775-4850

Established

Delaware since 03/10/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SHANK WILLIAMS CISNEROS, LLC	OWNER
CALABRISOTTO, DIANNE NMN	AML OFFICER	1273900
CALABRISOTTO, DIANNE NMN	CHIEF COMPLIANCE OFFICER & COO	1273900
CHANDA, ATEESH SINGH	CHIEF LEGAL OFFICER	6973151
DIAZ, DANIEL	FINANCIAL PRINCIPAL	2214417
HALL, GARY	CO-PRESIDENT	4393662
SHANK-WERDLOW, SUZANNE FRANCES	CEO, DIRECTOR OF PARENT	1860931
THOMPSON, WILLIAM COLRIDGE JR	CHIEF ADMINISTRATIVE OFFICER	2316101
WARNER, SOBANI MULENGA	CO-PRESIDENT	1732009

Disclosures

Regulatory Event

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.

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Stephen J. Carl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Julius Carl's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE WILLIAMS CAPITAL GROUP, L.P.

JEFFERIES LLC

OSAIC WEALTH, INC.

INGALLS & SNYDER, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/3/1986

Series 72

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/18/1998

Series 7

Date: 11/15/1986

Series 4

Date: 5/9/2007

Series 9

Date: 1/21/2000

Series 10

Date: 12/30/1999

Series 24

Date: 5/14/1999

FINRA

Current Firm

SIEBERT WILLIAMS SHANK & CO., LLC

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIEBERT WILLIAMS SHANK & CO., LLC

TRUST BUT VERIFY

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