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SD

Stephen M. Dragos

EXCELSIOR EQUITIES
Denver, CO 80224
Some features on this profile are disabled
CRD#: 1700070
SD

Professional summary

Stephen Martin Dragos, who also goes by Steve Dragos, Stephen M Dragos, is a registered financial professional currently at EXCELSIOR EQUITIES located in Denver, Colorado.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 10 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Dragos | Stephen M Dragos

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Martin Dragos's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 24, 2022 - Present

EXCELSIOR EQUITIES

Office #1: 6795 East Tennessee Avenue Suite 210, Denver, CO 80224
BD
CRD#: 309158
Denver, CO
Past

July 8, 2021 - February 15, 2022

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH
Past

January 3, 2011 - November 18, 2019

NORTHLAND SECURITIES, INC.

BD
CRD#: 40258
MINNEAPOLIS, MN
Past

November 4, 2008 - December 17, 2010

AGENCY TRADING GROUP, INC.

BD
CRD#: 108887
WAYZATA, MN
Past

November 22, 2006 - November 3, 2008

THINKEQUITY LLC

BD
CRD#: 44274
MINNEAPOLIS, MN
Past

July 6, 2005 - November 3, 2006

MILLER JOHNSON STEICHEN KINNARD, INC.

BD
CRD#: 694
MINNEAPOLIS, MN
Past

May 20, 2002 - May 23, 2005

THINKEQUITY LLC

BD
CRD#: 44274
SAN FRANCISCO, CA
Past

May 3, 1993 - May 22, 2002

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

July 25, 1990 - May 4, 1993

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
BALTIMORE, MD
Past

April 19, 1988 - September 13, 1988

QUICK & REILLY, INC.

BD
CRD#: 11217
Past

July 23, 1987 - October 1, 1987

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/6/2023)
RR
Colorado
(9/6/2023)
RR
Massachusetts
(9/6/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/4/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/13/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/3/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EE
EXCELSIOR EQUITIES
EXCELSIOR EQUITIES | EXCELSIOR EQUITIES, LLC

CRD#: 309158 / SEC#: , 8-70533

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
6795 East Tennessee Avenue Suite 210, Denver, MN 80224
Mailing Address
6795 East Tennessee Avenue Suite 210, Denver, MN 80224
Phone number
(612) 202-7677
Established
Colorado since 12/23/2019
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FLOOD, JOHN LAWRENCECEO/OWNER AND CHIEF COMPLIANCE OFFICER1161629
REGAN, MICHAEL JOHNPARTNER
DRAGOS, STEPHEN MARTINDIRECTOR OF TRADING1700070
RIP, OLGAFINOP5440553

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.

Company Information

EXCELSIOR EQUITIES

CRD#: 309158Denver, CO 80224

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