Stephen L. Braverman
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 Lance Braverman, who also goes by Steven L Braverman, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1990. Stephen had worked at 19 firms and has passed the Series 63, SIE, Series 57, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2016 - June 29, 2018
CLEARVIEW TRADING ADVISORS, INC.
April 8, 2010 - June 10, 2010
MAXIM GROUP LLC
January 28, 2010 - February 4, 2010
LEGEND TRADING, LLC
July 23, 2009 - October 13, 2009
QUAD CAPITAL, LLC
March 4, 2008 - July 21, 2009
CLEARVIEW TRADING ADVISORS, INC.
May 18, 2007 - February 20, 2008
TOUCHPOINT SECURITIES CORP.
June 13, 2006 - February 26, 2007
WESTOR CAPITAL GROUP, INC.
October 7, 2005 - June 12, 2006
BLOCK ORDERS EXECUTION, LLC
May 16, 2005 - December 16, 2005
DASH FINANCIAL TECHNOLOGIES LLC
August 28, 2002 - May 18, 2005
STG SECURE TRADING GROUP, INC.
July 9, 2001 - August 14, 2002
ALEXANDER, WESCOTT, & CO., INC.
May 11, 2001 - July 9, 2001
WIN CAPITAL CORP.
August 16, 2000 - May 11, 2001
RUMSON CAPITAL, LLC
December 10, 1999 - August 17, 2000
GRUNTAL & CO., L.L.C.
March 13, 1998 - October 27, 1999
ALEXANDER, WESCOTT, & CO., INC.
December 18, 1997 - February 6, 1998
FIRST NEW YORK SECURITIES L.L.C.
July 13, 1995 - July 21, 1997
KNIGHT CAPITAL AMERICAS, L.P.
April 18, 1995 - June 24, 1997
KNIGHT CAPITAL MARKETS LLC
April 6, 1995 - April 18, 1995
TRIMARK SECURITIES, INC.
February 2, 1995 - February 17, 1995
W.A. CAPITAL MARKETS
September 7, 1994 - December 14, 1994
A.J. MICHAELS & CO., LTD.
January 23, 1990 - September 12, 1994
TRIMARK SECURITIES, 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 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamCurrent Firm
CLEARVIEW TRADING ADVISORS, INC.
CRD#: 142873 / SEC#: , 8-67501
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
