Stephen J. Dobi
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 J Dobi, who also goes by Steve Dobi, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1987. Stephen had worked at 10 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 16, 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
July 31, 2015 - September 9, 2015
MKM PARTNERS LLC
May 4, 2015 - July 6, 2015
CITIZENS JMP SECURITIES, LLC
August 21, 2014 - October 29, 2014
GUGGENHEIM SECURITIES, LLC
April 1, 2014 - August 22, 2014
B. RILEY SECURITIES, INC.
January 15, 2009 - April 16, 2013
LONGBOW SECURITIES, LLC
February 15, 2008 - August 11, 2008
ABN AMRO INCORPORATED
January 5, 2005 - December 8, 2006
LABRANCHE FINANCIAL SERVICES, LLC
April 16, 1993 - October 2, 2000
GOLDMAN SACHS & CO. LLC
June 6, 1990 - April 19, 1993
CITIGROUP GLOBAL MARKETS INC.
November 25, 1987 - April 30, 1990
SALOMON BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
MKM PARTNERS LLC
CRD#: 114666 / SEC#: , 8-53436
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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