Steven A. Cotroneo
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 Anthony Cotroneo, who also goes by Steven Anthony Cotroeno, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1987. Steven had worked at 16 firms and has passed the Series 63, Series 7 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
February 24, 2012 - April 27, 2012
INVEST FINANCIAL CORPORATION
March 2, 2010 - April 14, 2010
INSTITUTIONAL SECURITIES CORPORATION
March 24, 2009 - April 17, 2009
NYLIFE SECURITIES LLC
February 6, 2007 - March 27, 2007
NYLIFE SECURITIES LLC
October 9, 2002 - August 13, 2003
INTERLINK SECURITIES CORP.
July 22, 2002 - August 29, 2005
DORTCH SECURITIES & INVESTMENTS, INC.
March 15, 2000 - August 2, 2002
1717 CAPITAL MANAGEMENT COMPANY
February 5, 1999 - March 7, 2000
INVEST FINANCIAL CORPORATION
January 9, 1998 - December 15, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 23, 1995 - July 15, 1997
JOHN HANCOCK DISTRIBUTORS LLC
January 13, 1994 - September 19, 1994
ICBA FINANCIAL SERVICES CORPORATION
August 1, 1991 - January 1, 1994
IFMG SECURITIES, INC.
October 12, 1990 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
April 18, 1990 - October 29, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 18, 1990 - October 29, 1990
EQUITABLE ADVISORS, LLC
June 27, 1988 - April 23, 1990
LEHMAN BROTHERS INC.
August 31, 1987 - March 11, 1988
UNITED CAPITAL CORPORATION
May 21, 1987 - July 28, 1987
DELTA FINANCIAL INVESTMENT CORPORATION
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
