Steven D. Wasserman
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 David Wasserman, who also goes by Steve Wasserman, Steven David Wasserman, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 30, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2017 - October 24, 2017
MUZINICH CAPITAL LLC
April 17, 2015 - April 13, 2016
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
May 19, 2014 - April 13, 2016
GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC
December 21, 2012 - April 21, 2015
GUGGENHEIM SECURITIES, LLC
October 13, 2009 - August 12, 2010
BEDMINSTER FINANCIAL GROUP, LIMITED
July 8, 2005 - February 27, 2009
ROTHSCHILD & CO US INC.
September 26, 2000 - July 10, 2002
ROTHSCHILD & CO US INC.
December 3, 1999 - September 1, 2000
UBS ASSET MANAGEMENT (US) INC.
August 7, 1996 - June 29, 1998
ROTHSCHILD & CO US INC.
May 23, 1989 - April 20, 1995
CITISTREET EQUITIES LLC
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
MUZINICH CAPITAL LLC
CRD#: 146017 / SEC#: , 8-67832
Contact information
FINRA licenses (2 States and Territories)
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.
