Stephen Martin Kardos
Professional Summary
Stephen Martin Kardos was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 1987 - 2019. Stephen had worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST EMPIRE SECURITIES, INC.
Contact Information
Established
New York since 04/03/1984Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Aug 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Feb 2003Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2011About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2010About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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