Stephen D. Sprauer
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.
Stephen Dennis Sprauer was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 5 firms and has passed the Series 63 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
July 24, 2003 - March 18, 2004
GREENWICH GLOBAL, LLC
July 2, 2002 - March 10, 2003
OPPENHEIMER & CO. INC.
November 27, 2000 - July 18, 2002
UBS FINANCIAL SERVICES INC.
January 10, 2000 - October 30, 2000
CITICORP INVESTMENT SERVICES
January 4, 1990 - February 18, 1998
UBS FINANCIAL SERVICES INC.
January 21, 1987 - January 15, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GREENWICH GLOBAL, LLC
CRD#: 37304 / SEC#: , 8-47687
Contact information
Documents
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.
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