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SD

Stephen M. Dragos

RODMAN & RENSHAW
EDEN PRAIRIE, MN
Some features on this profile are disabled
CRD#: 1700070
SD

Professional summary

Stephen Martin Dragos, who also goes by Stephen Martin Dragos, Steve Dragos, Stephen M Dragos, is a registered financial professional currently at RODMAN & RENSHAW, LLC located in Eden Prairie, Minnesota and STOCKBLOCK SECURITIES located in Eden Prairie, Minnesota.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 12 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Martin Dragos | 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).
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

December 23, 2025 - Present

RODMAN & RENSHAW, LLC

BD
CRD#: 281264
EDEN PRAIRIE, MN
Current

January 9, 2026 - Present

STOCKBLOCK SECURITIES

BD
CRD#: 307304
EDEN PRAIRIE, MN
Past

October 24, 2022 - January 5, 2026

EXCELSIOR EQUITIES

BD
CRD#: 309158
DENVER, MN
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
Alabama
(12/23/2025)
RR
Alaska
(12/23/2025)
RR
Arizona
(12/23/2025)
RR
Arkansas
(12/23/2025)
RR
California
(12/23/2025)
RR
Colorado
(12/23/2025)
RR
Connecticut
(12/23/2025)
RR
Delaware
(12/23/2025)
RR
District of Columbia
(12/23/2025)
RR
Florida
(12/23/2025)
RR
Georgia
(12/23/2025)
RR
Hawaii
(12/23/2025)
RR
Idaho
(12/23/2025)
RR
Illinois
(12/23/2025)
RR
Indiana
(12/23/2025)
RR
Iowa
(12/23/2025)
RR
Kansas
(12/23/2025)
RR
Kentucky
(12/23/2025)
RR
Louisiana
(12/23/2025)
RR
Maine
(12/23/2025)
RR
Maryland
(12/23/2025)
RR
Massachusetts
(12/23/2025)
RR
Michigan
(12/23/2025)
RR
Minnesota
(12/23/2025)
RR
Mississippi
(12/23/2025)
RR
Missouri
(12/23/2025)
RR
Montana
(12/23/2025)
RR
Nebraska
(12/23/2025)
RR
Nevada
(12/23/2025)
RR
New Hampshire
(12/23/2025)
RR
New Jersey
(12/23/2025)
RR
New Mexico
(12/23/2025)
RR
New York
(12/23/2025)
RR
North Carolina
(12/23/2025)
RR
North Dakota
(12/23/2025)
RR
Ohio
(12/26/2025)
RR
Oklahoma
(12/23/2025)
RR
Oregon
(12/23/2025)
RR
Pennsylvania
(12/23/2025)
RR
Puerto Rico
(12/23/2025)
RR
Rhode Island
(12/23/2025)
RR
South Carolina
(12/23/2025)
RR
South Dakota
(12/23/2025)
RR
Tennessee
(12/23/2025)
RR
Texas
(12/23/2025)
RR
Utah
(12/23/2025)
RR
Vermont
(12/23/2025)
RR
Virgin Islands
(12/23/2025)
RR
Virginia
(12/23/2025)
RR
Washington
(12/23/2025)
RR
West Virginia
(12/23/2025)
RR
Wisconsin
(12/23/2025)
RR
Wyoming
(12/23/2025)

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

SS
STOCKBLOCK SECURITIES
STOCKBLOCK | STOCKBLOCK SECURITIES LLC | STOCKBLOCK SECURITIES

CRD#: 307304 / SEC#: , 8-70481

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

Main Address
600 Lexington Avenue 32nd Floor, New York, NY 10022
Mailing Address
600 Lexington Avenue 32nd Floor, New York, NY 10022
Phone number
(212) 540-4440
Established
Delaware since 01/02/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STOCKBLOCK LLCSHAREHOLDER
DINKIN, DAVID WILLIAMPRESIDENT7226108
KIRSCH, KENNETH JOHNCFO/FINOP1671480
VASINKEVICH, MICHAELCEO2843810
ZAKAY, JOSEPHCHIEF COMPLIANCE OFFICER6787824

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

STOCKBLOCK SECURITIES

CRD#: 307304Eden Prairie, MN

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