Stephen M. Trauber

MOELIS & COMPANY LLC

HOUSTON, TX 77002

Some features on this profile are disabled

CRD#: 1708014

Professional summary

Stephen Maxwell Trauber is a registered financial professional currently at MOELIS & COMPANY LLC located in Houston, Texas.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1988. Stephen has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Maxwell Trauber'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

March 20, 2024 - Present

MOELIS & COMPANY LLC

Office #1: 845 Texas Ave 22nd Floor, Houston, TX 77002

CRD#: 145115

HOUSTON, TX

Past

March 8, 2011 - October 24, 2022

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HOUSTON, TX

Past

October 28, 2003 - September 22, 2010

UBS SECURITIES LLC

CRD#: 7654

HOUSTON, TX

Past

July 10, 1995 - November 13, 2003

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

October 19, 1988 - July 19, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

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

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

Texas
(6/6/2024)

Exams

State Security Law Exam

Series 63

Date: 11/9/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MOELIS & COMPANY LLC

MOELIS | MOELIS & COMPANY LLC | MOELIS & COMPANY

CRD#: 145115 / SEC#: , 8-67705

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

399 Park Avenue 4th Floor, New York, NY 10022

Mailing Address

399 Park Avenue 4th Floor, New York, NY 10022

Phone number

(212) 883-3800

Established

Delaware since 06/12/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MOELIS & COMPANY GROUP LP	PARENT COMPANY
CALLESANO, CHRIS PETER	CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER	4889259
MAHMOODZADEGAN, NAVID ALI	CHIEF EXECUTIVE OFFICER	2609804
MOELIS, KENNETH DAVID	EXECUTIVE CHAIRMAN	1015047
PILCHER CIAFONE, KATHERINE CELY	CHIEF OPERATING OFFICER	4573006
RAICH, JEFFREY ALAN	EXECUTIVE VICE CHAIRMAN	2016620
WATANABE, OSAMU RICHARD	CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER	2875185

Disclosures

Regulatory Event

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.

Similar Advisors

Darren Dindinger

ALLWORTH FINANCIAL, L.P.

IAR

Orting, WA

Li-e Wang

TRANSAMERICA FINANCIAL ADVISORS, LLC

Houston, TX

James Marshall

MARSHALL WEALTH MANAGEMENT, LLC

IAR

SUGAR LAND, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen M. Trauber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Maxwell Trauber's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIGROUP GLOBAL MARKETS INC.

UBS SECURITIES LLC

MORGAN STANLEY & CO. LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/2002

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1988

Series 10

Date: 1/2/2023

Series 24

Date: 6/22/2001

FINRA

Current Firm

MOELIS & COMPANY LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MOELIS & COMPANY LLC

TRUST BUT VERIFY

Similar Advisors