Stephen A. Fayette
Professional summary
Stephen Anthony Fayette was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Stephen had worked at 9 firms, which includes GLB TRADING INC, FAGENSON & CO. INC., FRANKLIN ROSS INC., WESTPARK CAPITAL INC., GUNNALLEN FINANCIAL INC, CUTTER & COMPANY INC., FORTA FINANCIAL GROUP INC., BAXTER BANKS & SMITH LTD., KASHNER DAVIDSON SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2009 - April 28, 2009
GLB TRADING, INC
July 21, 2008 - December 31, 2008
GLB TRADING, INC
July 18, 2007 - June 26, 2008
FAGENSON & CO., INC.
October 6, 2004 - August 10, 2007
FRANKLIN ROSS, INC.
May 16, 2003 - January 3, 2005
WESTPARK CAPITAL, INC.
August 9, 2001 - September 15, 2003
GUNNALLEN FINANCIAL, INC
April 3, 2000 - December 31, 2001
CUTTER & COMPANY, INC.
November 2, 1999 - April 4, 2000
FORTA FINANCIAL GROUP, INC.
September 23, 1999 - December 10, 1999
BAXTER BANKS & SMITH, LTD.
November 25, 1987 - September 28, 1999
KASHNER DAVIDSON SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GLB TRADING, INC
CRD#: 125363 / SEC#: , 8-65790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LECHMAN, ROBERT TRUST 08/14/06 | OWNER | |
| LECHMAN, ROBERT ALLEN | PRESIDENT, CEO, FINOP, CFO & CCO | 1045237 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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