Steven L. Weiss
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 Lawrence Weiss, who also goes by Stephen L Weiss, Stephen Weiss, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 9 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2013 - February 11, 2014
VCS VENTURE SECURITIES
March 27, 2012 - May 23, 2013
NMS CAPITAL SECURITIES, LLC
June 5, 2007 - March 30, 2010
LEERINK PARTNERS LLC
February 5, 2004 - November 27, 2006
FAIRFIELD CAPITAL ADVISORS, LLC
March 6, 2003 - February 9, 2004
HUNNICUTT & CO. LLC
November 17, 1997 - August 30, 2002
LEHMAN BROTHERS INC.
January 21, 1993 - March 4, 1997
SALOMON BROTHERS INC.
April 3, 1992 - January 11, 1993
LAZARD FRERES & CO. LLC
April 29, 1987 - April 2, 1992
CIBC WORLD MARKETS 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
Series 8
Date: 4/28/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VCS VENTURE SECURITIES
CRD#: 127921 / SEC#: , 8-66069
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEO CAPITAL MARKETS, LLC | DIRECT OWNER | |
| NEW AGE CAPITAL MANAGEMENT, LLC | DIRECT OWNER | |
| MOOD, TRAVIS ANTON MORSE | REGISTERED OPTIONS PRINCIPAL | 4745001 |
| NIXON, JON ALAN | FINOP | 4710715 |
| STALANSKI, JOHN WALTER | AMLCO | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF OPERATING OFFICER | 2922709 |
| STALANSKI, JOHN WALTER | CHIEF COMPLIANCE OFFICER | 2922709 |
Disclosures
| Regulatory Event | 3 |
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.
