Steven H. Adler
Professional summary
Steven Harris Adler was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Steven had worked at 11 firms, which includes JOSEPHTHAL & CO. INC., THE FIRST AMERICAN INVESTMENT BANKING CORPORATION, DAVID M POLEN SECURITIES LLC, GKB INC., UBS FINANCIAL SERVICES INC., DREXEL BURNHAM LAMBERT INCORPORATED, L. F. ROTHSCHILD & CO. INCORPORATED, E. F. HUTTON & COMPANY INC, GARY GOLDBERG & CO. INC., OPPENHEIMER MANAGEMENT CORPORATION, MERRILL LYNCH PIERCE FENNER & SMITH INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 1999 - August 29, 2000
JOSEPHTHAL & CO., INC.
November 24, 1998 - March 25, 1999
THE FIRST AMERICAN INVESTMENT BANKING CORPORATION
March 12, 1993 - December 17, 1996
DAVID M POLEN SECURITIES, LLC
January 10, 1992 - February 9, 1993
GKB, INC.
June 6, 1989 - January 15, 1992
UBS FINANCIAL SERVICES INC.
February 1, 1988 - June 19, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 23, 1986 - February 4, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
January 17, 1984 - June 3, 1986
E. F. HUTTON & COMPANY INC
July 20, 1977 - November 19, 1984
GARY GOLDBERG & CO., INC.
May 29, 1974 - February 12, 1977
OPPENHEIMER MANAGEMENT CORPORATION
February 1, 1973 - July 24, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 1
Date: 1/24/1973
Registered Representative ExaminationCurrent Firm
JOSEPHTHAL & CO., INC.
CRD#: 3227 / SEC#: , 8-5651
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPHTHAL CAPITAL GROUP, INC. | PARENT | |
| AGOSTA, SALVATORE FRANK | CHIEF FINANCIAL OFFICER | 1253738 |
| FICHTNER, HENRY ARTHUR | NATIONAL MANAGER-RETAIL DIVISION-VICE PRESIDENT | 1327009 |
| FITZGERALD, PAUL HENRY | CEO - CHAIRMAN - PRESIDENT - CHIEF OPERATING OFFICER - DIRECTOR | 812775 |
| HURLEY, KEVIN BRADY | COMPLIANCE DIRECTOR | 1293748 |
| KRONENBERG, DAVID HIRSCH | CHIEF ADMINISTRATIVE OFFICER | 1799665 |
| MATYCKAS, EDWARD STANLEY | CROP/SROP | 1405961 |
| MCCABE, DONALD GERARD | GENERAL COUNSEL - REGULATION & LITIGATION - ASSISTANT SECRETARY | 1367480 |
| MCNAMARA, DENNIS PATRICK | GENERAL COUNSEL - CORPORATE-VICE PRESIDENT | 2938486 |
Disclosures
| Regulatory Event | 32 |
| Arbitration | 12 |
Red Flags
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