Stephen I. Gottlieb
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 Ira Gottlieb, who also goes by Steve Gottlieb, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 13 firms and has passed the Series 63, SIE, Series 6 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
August 21, 2015 - September 11, 2017
NORTH NASSAU ADVISORS, LLC
April 3, 2013 - August 29, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
April 1, 1996 - September 11, 1998
HORNOR, TOWNSEND & KENT, LLC
February 18, 1994 - July 27, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 18, 1994 - July 27, 1994
OSAIC FA, INC.
April 27, 1993 - March 1, 1994
CETERA WEALTH SERVICES, LLC
January 15, 1992 - March 24, 1993
NEW ENGLAND SECURITIES
September 7, 1991 - December 23, 1991
OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.
March 28, 1990 - August 2, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 28, 1990 - August 2, 1991
SIGNATOR INVESTORS, INC.
May 2, 1988 - February 21, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 2, 1988 - February 21, 1990
PRUCO SECURITIES, LLC.
May 7, 1987 - April 21, 1988
THE VARIABLE ANNUITY MARKETING COMPANY
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
NORTH NASSAU ADVISORS, LLC
CRD#: 143169 / SEC#: , 8-67536
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 123INVEST CORP | OWNER | |
| S.S.O.CAPITAL, INC. | OWNER | |
| GIMELSON, BRIAN FREDERICK | PRESIDENT/CEO, CHIEF COMPLIANCE OFFICER | 2262474 |
Disclosures
| Regulatory Event | 4 |
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.
