Steven M. Bohn
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 Michael Bohn, who also goes by Steve Michael Bohn, Steve Bohn, Steven Michael Bohn, Steven Micheal Bohn, Stevenmichael Bohn, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2023 - April 22, 2024
ALPS DISTRIBUTORS, INC.
July 13, 2022 - January 20, 2023
LEX
October 1, 2018 - June 23, 2022
GRIFFIN CAPITAL SECURITIES, LLC
August 12, 2016 - September 28, 2018
GAR WOOD SECURITIES, LLC
December 10, 2010 - September 15, 2014
VOYA INVESTMENT MANAGEMENT CO. LLC
December 10, 2010 - September 15, 2014
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 13, 2009 - November 12, 2010
WINTRUST INVESTMENTS LLC
June 6, 2007 - January 2, 2009
LYSTER WATSON SECURITIES, INC.
April 1, 2004 - June 7, 2007
LAZARD ASSET MANAGEMENT SECURITIES LLC
June 5, 2003 - June 7, 2007
LAZARD ASSET MANAGEMENT LLC
April 16, 1998 - April 1, 2004
LAZARD FRERES & CO. LLC
April 20, 1995 - March 27, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 21, 1990 - October 26, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 1989 - July 13, 1989
CINCINNATI ANALYSTS, INC.
August 25, 1988 - January 24, 1989
CINCINNATI ANALYSTS, INC.
July 19, 1988 - July 29, 1988
BALCOR SECURITIES COMPANY
October 20, 1987 - January 19, 1988
UBS FINANCIAL SERVICES INC.
October 24, 1986 - July 29, 1988
BALCOR SECURITIES COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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