Stephen E. Carlozzi
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 Edward Carlozzi was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 10 firms and has passed the Series 63, Series 62, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2004 - October 8, 2004
GUNNALLEN FINANCIAL, INC
January 6, 2003 - July 8, 2003
ELECTRONIC TRADING GROUP, LLC
November 15, 2001 - August 28, 2002
CARLIN EQUITIES, LLC
June 28, 1999 - October 22, 2001
ON-SITE TRADING, INC.
June 14, 1997 - March 3, 1998
ON-SITE TRADING, INC.
September 10, 1993 - September 2, 1994
BRILL SECURITIES, INC.
September 9, 1992 - July 19, 1993
GRUNTAL & CO., L.L.C.
July 22, 1991 - September 17, 1992
LEHMAN BROTHERS INC.
July 11, 1991 - July 17, 1991
J.P. MORGAN SECURITIES LLC
June 15, 1990 - June 13, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 25, 1989 - June 29, 1990
CIBC WORLD MARKETS CORP.
January 19, 1988 - October 21, 1989
LEHMAN BROTHERS INC.
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 62
Date: 6/10/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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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